Broker-dealer firm · Logan, UT
Harold Dance Investments
Harold W. Dance Inc. · SEC-registered investment adviser · CRD 1582 · SEC 801-129647
At a glance
Harold Dance Investments is an SEC-registered investment adviser based in Logan, Utah, with $158 million in regulatory assets under management as of its Form ADV filed August 3, 2026. Its largest client group by assets is individuals, and it reports 302 individual clients. By Form ADV it is a broker-dealer firm, ranked 300th of 391 broker-dealer firms and 13,429th of 17,210 SEC-registered advisers by assets.
Main office 435-752-8484harolddance.comAs filed on Form ADV
- Regulatory AUM
- $158M
- Rank among broker-dealer firms
- #300 of 391
- Rank among all SEC RIAs
- #13,429 of 17,210
- Rank in Utah
- #120 of 151
- Individual clients
- 302
- High-net-worth clients
- 21
- Accounts
- 409
- Discretionary
- 100% of AUM
- Employees
- 8
- Advisory staff
- 8
- Offices
- 1
Owners and executives on its Form ADV
- Stephen F NeeleyPresident; Cco; S-Corp Shareholder
- Daniel Joseph NeeleyVice President, S-Corp Shareholder
- Aaron James NeeleyVice President, S-Corp Shareholder
Custody and brokerage
Custodian
Harold Dance Investments’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
Harold Dance Investments is a hybrid RIA: 8 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 | 281 | $122M | 77% |
| High-net-worth individuals | 21 | $32M | 20% |
| Charitable organizations | 4 | $4M | 3% |
Disciplinary disclosures
Harold Dance Investments 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
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗harolddance.com ↗
AtlasMembers
The full record on Harold Dance Investments
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 129 peers of its type and size
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- Owners and executives, with titles and stakes
- 3 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Harold Dance Investments manage?
Harold Dance Investments reports $158 million in regulatory assets under management across 409 accounts, 100% of it on a discretionary basis, on its Form ADV filed August 3, 2026.
What kind of firm is Harold Dance Investments?
Harold Dance Investments 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 Harold Dance Investments’s clients?
By assets, its largest client types are individuals ($122 million, 281 clients); high-net-worth individuals ($32 million, 21 clients); charitable organizations ($4 million, 4 clients).
Does Harold Dance Investments have any disciplinary history?
Harold Dance Investments 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 Harold Dance Investments’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 (2026-08-03), 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 →