Wealth manager, independent · Bethesda, MD
Bull Harbor Capital LLC.
SEC-registered investment adviser · CRD 324995 · SEC 801-127531
At a glance
Bull Harbor Capital LLC. is an SEC-registered investment adviser based in Bethesda, Maryland, with $355 million in regulatory assets under management as of its Form ADV filed May 1, 2026. Its largest client group by assets is individuals, and it reports 421 individual clients. By Form ADV it is a wealth manager, ranked 3,879th of 8,915 wealth managers and 9,351st of 17,210 SEC-registered advisers by assets.
Main office 804-965-5408bullharborcapital.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $355M
- Rank among wealth managers
- #3,879 of 8,915
- Rank among all SEC RIAs
- #9,351 of 17,210
- Rank in Maryland
- #133 of 227
- Individual clients
- 421
- High-net-worth clients
- 128
- Accounts
- 424
- Discretionary
- 100% of AUM
- Employees
- 43
- Advisory staff
- 28
- Offices
- 2
Owners and executives on its Form ADV
- Kenneth R. BrodkowitzMember/chief Investment Officer
- Robert J. HermanMember/chairman
- Lloyd H PolmateerCEO
- Sean P. JoinerPresident
- Brian J. DurkinChief Compliance Officer
- Victoria R. ShubertChief Operating Officer
Custody and brokerage
Broker-dealer
Hybrid RIA
Bull Harbor Capital LLC. is a hybrid RIA: 8 of its employees are also registered representatives of a broker-dealer. It reports a broker-dealer among its affiliates on Form ADV.
Its Form ADV brochure (filed May 2026) names MML Investors Services and Leigh Baldwin & Co. as the broker-dealer its advisers are registered with.
C Certain Supervised Persons of BHC may also be a registered representative of MML Investors Services, LLC, or Leigh Baldwin & Co., LLC, both registered broker-dealers, members FINRA (CRD No. 10409 and 38751 respectively), members FINRA, S
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Individuals | 293 | $245M | 69% |
| High-net-worth individuals | 128 | $107M | 30% |
| Corporations or other businesses | 4 | $3M | <1% |
| Pension and profit sharing plans | 1 | $0M | <1% |
Disciplinary disclosures
Bull Harbor Capital LLC. reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
- Pension consulting
- Selecting other advisers
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗bullharborcapital.com ↗
AtlasMembers
The full record on Bull Harbor Capital LLC.
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 2 years of filings
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- Growth over one, three and five years
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- Rank against 6,314 peers of its type and size
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- Owners and executives, with titles and stakes
- 6 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Background
Questions
How much does Bull Harbor Capital LLC. manage?
Bull Harbor Capital LLC. reports $355 million in regulatory assets under management across 424 accounts, 100% of it on a discretionary basis, on its Form ADV filed May 1, 2026.
What kind of firm is Bull Harbor Capital LLC.?
Bull Harbor Capital LLC. is a wealth manager by its Form ADV answers. At least half of its regulatory assets are managed for individuals and high-net-worth individuals.
Who are Bull Harbor Capital LLC.’s clients?
By assets, its largest client types are individuals ($245 million, 293 clients); high-net-worth individuals ($107 million, 128 clients); corporations or other businesses ($3 million, 4 clients).
Does Bull Harbor Capital LLC. have any disciplinary history?
Bull Harbor Capital LLC. reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Bull Harbor Capital LLC.’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-05-01), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →