Private fund adviser · New York, NY
Harraden Circle Investments, LLC
SEC-registered investment adviser · CRD 310227 · SEC 801-133959
At a glance
Harraden Circle Investments, LLC is an SEC-registered investment adviser based in New York, New York, with $563 million in regulatory assets under management as of its Form ADV filed July 16, 2026. Its largest client group by assets is pooled investment vehicles. By Form ADV it is a private fund adviser, ranked 2,900th of 4,686 private fund advisers and 7,352nd of 17,210 SEC-registered advisers by assets.
Main office 212-832-0112harradencircle.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $563M
- Rank among private fund advisers
- #2,900 of 4,686
- Rank among all SEC RIAs
- #7,352 of 17,210
- Rank in New York
- #1,419 of 2,591
- Clients
- 11
- Accounts
- 11
- Discretionary
- 100% of AUM
- Employees
- 9
- Advisory staff
- 4
- Offices
- 1
Owners and executives on its Form ADV
- Frederick V. Fortmiller JrManaging Member
- George E. RoeckChief Operating Officer
- David MogilenskyChief Financial Officer/ Chief Compliance Officer
Custody and brokerage
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Pooled investment vehicles | 9 | $560M | 100% |
| Corporations or other businesses | 2 | $2M | <1% |
Private funds
Harraden Circle Investments, LLC reports 4 private funds with $560M in gross assets: hedge funds (Form ADV Item 7.B).
Disciplinary disclosures
Harraden Circle Investments, LLC reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses and institutions
How it’s paid
- A percentage of assets under management
- Performance-based fees
Form ADV and brochures on the SEC’s adviser search ↗harradencircle.com ↗
AtlasMembers
The full record on Harraden Circle Investments, 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, 1 years of filings
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- Growth over one, three and five years
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- Rank against 2,287 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
- 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.
Background
Questions
How much does Harraden Circle Investments, LLC manage?
Harraden Circle Investments, LLC reports $563 million in regulatory assets under management across 11 accounts, 100% of it on a discretionary basis, on its Form ADV filed July 16, 2026.
What kind of firm is Harraden Circle Investments, LLC?
Harraden Circle Investments, LLC is a private fund adviser by its Form ADV answers. Private funds are at least half of its business by assets.
Who are Harraden Circle Investments, LLC’s clients?
By assets, its largest client types are pooled investment vehicles ($560 million, 9 clients); corporations or other businesses ($2 million, 2 clients).
Does Harraden Circle Investments, LLC manage private funds?
Yes. It reports 4 private funds with $560 million in gross assets, including hedge funds.
Does Harraden Circle Investments, LLC have any disciplinary history?
Harraden Circle Investments, LLC 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 Harraden Circle Investments, 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 (2026-07-16), 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 →