Broker-dealer firm · Madison, WI
Harbour Investments, Inc.
SEC-registered investment adviser · CRD 19258 · SEC 801-29185
At a glance
Harbour Investments, Inc. is an SEC-registered investment adviser based in Madison, Wisconsin, with $9.6 billion in regulatory assets under management as of its Form ADV filed September 29, 2026. Its largest client group by assets is individuals, and it reports 29,827 individual clients. By Form ADV it is a broker-dealer firm, ranked 70th of 391 broker-dealer firms and 1,411th of 17,210 SEC-registered advisers by assets.
Main office 608-662-6100harbourinv.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $9.6B
- Rank among broker-dealer firms
- #70 of 391
- Rank among all SEC RIAs
- #1,411 of 17,210
- Rank in Wisconsin
- #12 of 195
- Individual clients
- 29,827
- High-net-worth clients
- 1,502
- Accounts
- 44,629
- Discretionary
- 79% of AUM
- Employees
- 232
- Advisory staff
- 213
- Offices
- 138
Owners and executives on its Form ADV
- Nick William SondelChief Executive Officer
- Rhonda Lee MeyerSenior Vice President & Chief Operating Officer, Finop
- Aaron Michael HagerPresident
- James Walter DushekVice President of Operations
- Daniel Thomas WipperfurthVice President of Advisor Development
- Julie Marie NellesVP of Advisory Operations & Services
- Richard Oneill MedlandDirector of Supervision
- Kyle Lee KopitzkeDirector of Transitions & Partnerships
- Scott Owen ConwellChief Compliance Officer
Custody and brokerage
Custodian
Harbour Investments, Inc.’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.
Broker-dealer
Hybrid RIA
Harbour Investments, Inc. is a hybrid RIA: 232 of its employees are also registered representatives of a broker-dealer.
Form ADV Part 1 doesn’t name an unaffiliated broker-dealer. The firm’s Part 2A brochure (Item 10) and each adviser’s record on the SEC’s adviser search do.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Individuals | 28,325 | $6.6B | 69% |
| High-net-worth individuals | 1,502 | $2.6B | 27% |
| Charitable organizations | 159 | $125M | 1% |
| State or municipal government entities | – | $108M | 1% |
| Pension and profit sharing plans | 227 | $72M | <1% |
| Corporations or other businesses | 96 | $46M | <1% |
| Insurance companies | – | $3M | <1% |
Disciplinary disclosures
Harbour Investments, Inc. 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
How it’s paid
- A percentage of assets under management
- Hourly charges
- Subscription fees
- Fixed fees
- Commissions
Form ADV and brochures on the SEC’s adviser search ↗harbourinv.com ↗
AtlasMembers
The full record on Harbour Investments, Inc.
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 71 peers of its type and size
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- Owners and executives, with titles and stakes
- 9 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 2Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Harbour Investments, Inc. manage?
Harbour Investments, Inc. reports $9.6 billion in regulatory assets under management across 44,629 accounts, 79% of it on a discretionary basis, on its Form ADV filed September 29, 2026.
What kind of firm is Harbour Investments, Inc.?
Harbour Investments, Inc. is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser.
Who are Harbour Investments, Inc.’s clients?
By assets, its largest client types are individuals ($6.6 billion, 28,325 clients); high-net-worth individuals ($2.6 billion, 1,502 clients); charitable organizations ($125 million, 159 clients).
Does Harbour Investments, Inc. have any disciplinary history?
Harbour Investments, Inc. 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 Harbour Investments, Inc.’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 (2026-09-29), 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 →