Broker-dealer firm · Baton Rouge, LA
Harger and Company, Inc.
SEC-registered investment adviser · CRD 10385 · SEC 801-129739
At a glance
Harger and Company, Inc. is an SEC-registered investment adviser based in Baton Rouge, Louisiana, with $137 million in regulatory assets under management as of its Form ADV filed March 27, 2026. Its largest client group by assets is individuals, and it reports 280 individual clients. By Form ADV it is a broker-dealer firm, ranked 314th of 391 broker-dealer firms and 14,120th of 17,210 SEC-registered advisers by assets.
Main office 225-767-7228hargerandcompany.comAs filed on Form ADV
- Regulatory AUM
- $137M
- Rank among broker-dealer firms
- #314 of 391
- Rank among all SEC RIAs
- #14,120 of 17,210
- Rank in Louisiana
- #70 of 82
- Individual clients
- 280
- High-net-worth clients
- 0
- Accounts
- 423
- Discretionary
- 2% of AUM
- Employees
- 3
- Advisory staff
- 3
- Offices
- 3
Owners and executives on its Form ADV
- Christopher Michael DowdenVP Operations/cco/finop
- Matthew Bennett HargerPresident
Custody and brokerage
Custodian
Harger and Company, 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
Harger and Company, Inc. is a hybrid RIA: 3 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 | 280 | $137M | 100% |
Disciplinary disclosures
Harger and Company, Inc. answers yes to 2 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
- Commissions
Form ADV and brochures on the SEC’s adviser search ↗hargerandcompany.com ↗
AtlasMembers
The full record on Harger and Company, 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, 2 years of filings
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- Growth over one, three and five years
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- Rank against 125 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
- 1Locked
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Background
Questions
How much does Harger and Company, Inc. manage?
Harger and Company, Inc. reports $137 million in regulatory assets under management across 423 accounts, 2% of it on a discretionary basis, on its Form ADV filed March 27, 2026.
What kind of firm is Harger and Company, Inc.?
Harger and Company, 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 Harger and Company, Inc.’s clients?
By assets, its largest client types are individuals ($137 million, 280 clients).
Does Harger and Company, Inc. have any disciplinary history?
Harger and Company, Inc. answers yes to 2 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 Harger and Company, 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 (2026-03-27), 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 →