Wealth manager, independent · Stamford, CT
Clear Harbor Asset Management, LLC
SEC-registered investment adviser · CRD 152242 · SEC 801-70821
At a glance
Clear Harbor Asset Management, LLC is an SEC-registered investment adviser based in Stamford, Connecticut, with $2.1B in regulatory assets under management as of its Form ADV filed March 30, 2026. It reports 784 individual clients, 451 of them high-net-worth, holding an average of about $2.4 million each, and 24 employees. That ranks it 538th among the nation’s 5,657 independent wealth management RIAs and 13th of 100 in Connecticut. It reports 2 custodians for its clients’ separately managed accounts: BNY Pershing and Charles Schwab.
Main office 212-867-7310clearharboram.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $2.1B
- Rank among independent wealth managers
- #538 of 5,657
- Rank among all SEC RIAs
- #3,569 of 17,210
- Rank in Connecticut
- #13 of 100
- Individual clients
- 784
- High-net-worth clients
- 451
- Accounts
- 1,865
- Discretionary
- 100% of AUM
- Employees
- 24
- Advisory staff
- 18
- Offices
- 3
Owners and executives on its Form ADV
- Ian A. ArmstrongChief Operations Officer
- Aaron J. KennonChief Executive Officer
- Donald Roger B. LiddellVice-Chairman
- Denise M. AdamczykChief Compliance Officer
Custody and brokerage
Broker-dealer
No broker-dealer ties
Clear Harbor Asset Management, LLC reports no employees registered with a broker-dealer and no affiliated broker-dealer.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 451 | $1.7B | 84% |
| Individuals | 333 | $136M | 7% |
| Corporations or other businesses | 18 | $76M | 4% |
| Charitable organizations | 9 | $50M | 2% |
| Pooled investment vehicles | 2 | $36M | 2% |
| Pension and profit sharing plans | 7 | $32M | 2% |
Private funds
Clear Harbor Asset Management, LLC reports 1 private funds with $28M in gross assets: hedge funds (Form ADV Item 7.B).
Disciplinary disclosures
Clear Harbor Asset Management, 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 pooled investment vehicles
- Portfolio management for businesses and institutions
- Selecting other advisers
How it’s paid
- A percentage of assets under management
- Fixed fees
- Performance-based fees
Form ADV and brochures on the SEC’s adviser search ↗clearharboram.com ↗
AtlasMembers
The full record on Clear Harbor Asset Management, 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, ten years of filings
- Locked
- Growth over one, three and five years
- Locked
- Rank against 1,917 peers of its type and size
- Locked
- Owners and executives, with titles and stakes
- 4 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 1Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Similar-size RIAs in Connecticut
All of Connecticut →| Firm | Regulatory AUM | Clients |
|---|---|---|
| Main Street Research LLCLakeville | $2.7B | 1,018 |
| RZH Advisors LLCStamford | $2.4B | 451 |
| Moneco AdvisorsFairfield | $2.3B | 2,781 |
| Adviceone Advisory Services, LLCGlastonbury | $2.0B | 1,449 |
| Rossmore Private Capital, LLCGlastonbury | $1.9B | 253 |
| Trivium Point Advisory, LLCWilton | $1.6B | 786 |
Background
Questions
How much does Clear Harbor Asset Management, LLC manage?
Clear Harbor Asset Management, LLC reports $2.1B in regulatory assets under management across 1,865 accounts, 100% of it on a discretionary basis, on its Form ADV filed March 30, 2026.
How many clients does Clear Harbor Asset Management, LLC have?
It reports 784 individual clients: 451 high-net-worth individuals and 333 other individuals. Individuals account for about 91% of its regulatory assets.
Where is Clear Harbor Asset Management, LLC headquartered?
Its main office is in Stamford, Connecticut. It reports 3 offices in total and 24 employees, 18 of whom perform investment advisory functions.
How does Clear Harbor Asset Management, LLC charge clients?
On Form ADV it lists these forms of compensation: a percentage of assets under management; fixed fees; performance-based fees. Fees and minimums are set out in its Form ADV Part 2A brochure, available on the SEC’s adviser search.
What custodian does Clear Harbor Asset Management, LLC use?
It reports 2 custodians for its clients’ separately managed accounts: BNY Pershing and Charles Schwab. On Schedule D of its Form ADV filed March 30, 2026, it reports these amounts held: BNY Pershing ($1.4B); Charles Schwab ($489M). Form ADV lists only custodians holding 10% or more of separately managed account assets.
Is Clear Harbor Asset Management, LLC a hybrid RIA with a broker-dealer?
Clear Harbor Asset Management, LLC reports no employees registered with a broker-dealer and no affiliated broker-dealer.
Is Clear Harbor Asset Management, LLC a fiduciary?
As an SEC-registered investment adviser, Clear Harbor Asset Management, LLC owes its advisory clients a fiduciary duty under the Investment Advisers Act of 1940, which includes duties of care and loyalty. It reports no employees who are registered representatives of a broker-dealer.
Where these numbers come from
Every figure is Clear Harbor Asset Management, 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 (2026-03-30), 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). Its national rank compares it with every US-based independent wealth management RIA, the same field as The Largest RIAs. 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 →