Wealth manager, wrap-program sponsor · Boston, MA
Flagship Harbor Advisors, LLC
SEC-registered investment adviser · CRD 155733 · SEC 801-71997
At a glance
Flagship Harbor Advisors, LLC is an SEC-registered investment adviser based in Boston, Massachusetts, with $3.4 billion in regulatory assets under management as of its Form ADV filed May 21, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 7,280 individual clients. By Form ADV it is a wealth manager (wrap-program sponsor), ranked 464th of 8,915 wealth managers and 2,628th of 17,210 SEC-registered advisers by assets.
Main office 857-350-4229flagshipharbor.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $3.4B
- Rank among wealth managers
- #464 of 8,915
- Rank among all SEC RIAs
- #2,628 of 17,210
- Rank in Massachusetts
- #175 of 627
- Individual clients
- 7,280
- High-net-worth clients
- 2,556
- Accounts
- 12,815
- Discretionary
- 100% of AUM
- Employees
- 61
- Advisory staff
- 57
- Offices
- 37
Owners and executives on its Form ADV
- David J. KaufmanManaging Member / Chief Executive Officer
- John P. SawyerChief Compliance Officer
Custody and brokerage
Broker-dealer
Hybrid RIA
Flagship Harbor Advisors, LLC is a hybrid RIA: 57 of its employees are also registered representatives of a broker-dealer.
Its Form ADV brochure (filed January 2026) names LPL Financial as the broker-dealer its advisers are registered with.
other professionals for implementation purposes, including certain of Flagship’s representatives in their individual capacities as registered representatives of LPL Financial (“LPL”) and/or in their capacities as licensed insurance agents.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 2,556 | $2.5B | 74% |
| Individuals | 4,724 | $855M | 25% |
| Pension and profit sharing plans | 29 | $16M | <1% |
| Charitable organizations | 27 | $13M | <1% |
| Corporations or other businesses | 37 | $12M | <1% |
Disciplinary disclosures
Flagship Harbor Advisors, LLC answers yes to 4 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Selecting other advisers
- Educational seminars and workshops
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗flagshipharbor.com ↗
AtlasMembers
The full record on Flagship Harbor Advisors, 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
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- Growth over one, three and five years
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- Rank against 1,194 peers of its type and size
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- Owners and executives, with titles and stakes
- 2 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 Flagship Harbor Advisors, LLC manage?
Flagship Harbor Advisors, LLC reports $3.4 billion in regulatory assets under management across 12,815 accounts, 100% of it on a discretionary basis, on its Form ADV filed May 21, 2026.
What kind of firm is Flagship Harbor Advisors, LLC?
Flagship Harbor Advisors, 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 Flagship Harbor Advisors, LLC’s clients?
By assets, its largest client types are high-net-worth individuals ($2.5 billion, 2,556 clients); individuals ($855 million, 4,724 clients); pension and profit sharing plans ($16 million, 29 clients).
Does Flagship Harbor Advisors, LLC have any disciplinary history?
Flagship Harbor Advisors, LLC answers yes to 4 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Flagship Harbor Advisors, 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 (2026-05-21), 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 →