Private fund adviser · Chicago, IL
New Harbor Capital
New Harbor Capital Management, LP · SEC-registered investment adviser · CRD 283319 · SEC 801-107549
At a glance
New Harbor Capital is an SEC-registered investment adviser based in Chicago, Illinois, with $1.1 billion in regulatory assets under management as of its Form ADV filed May 26, 2026. Its largest client group by assets is pooled investment vehicles. By Form ADV it is a private fund adviser, ranked 2,214th of 4,686 private fund advisers and 5,099th of 17,210 SEC-registered advisers by assets.
Main office 312-876-8605newharborcap.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $1.1B
- Rank among private fund advisers
- #2,214 of 4,686
- Rank among all SEC RIAs
- #5,099 of 17,210
- Rank in Illinois
- #241 of 684
- Clients
- 11
- Accounts
- 11
- Discretionary
- 100% of AUM
- Employees
- 18
- Advisory staff
- 15
- Offices
- 1
Owners and executives on its Form ADV
- Thomas J. FormoloPartner and Elected Manager, New Harbor Capital
- Edward M. LheePartner and Elected Manager, New Harbor Capital
- Mark J. MorganChief Compliance Officer & Chief Financial Officer
Custody and brokerage
Custodian
New Harbor Capital’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Pooled investment vehicles | 11 | $1.1B | 100% |
Private funds
New Harbor Capital reports 11 private funds with $741M in gross assets: private equity funds (Form ADV Item 7.B).
Disciplinary disclosures
New Harbor Capital 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
How it’s paid
- A percentage of assets under management
- Performance-based fees
Form ADV and brochures on the SEC’s adviser search ↗newharborcap.com ↗
AtlasMembers
The full record on New Harbor Capital
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, 9 years of filings
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- Growth over one, three and five years
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- Rank against 2,124 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
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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 New Harbor Capital manage?
New Harbor Capital reports $1.1 billion in regulatory assets under management across 11 accounts, 100% of it on a discretionary basis, on its Form ADV filed May 26, 2026.
What kind of firm is New Harbor Capital?
New Harbor Capital is a private fund adviser by its Form ADV answers. Private funds are at least half of its business by assets.
Who are New Harbor Capital’s clients?
By assets, its largest client types are pooled investment vehicles ($1.1 billion, 11 clients).
Does New Harbor Capital manage private funds?
Yes. It reports 11 private funds with $741 million in gross assets, including private equity funds.
Does New Harbor Capital have any disciplinary history?
New Harbor Capital 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 New Harbor Capital’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 (2026-05-26), 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 →