Harbour Investments, Inc.

Registered investment adviser · Madison, WI · CRD #19258

Form ADV data as of 2026-09-01

Regulatory assets

$9.60 billion

Total accounts

44,629

Employees

232

Disclosure events

Firm details

Website: https://www.facebook.com/harbourinv/
Telephone: 608-662-6100
SEC file number: 801-29185
Most recent Form ADV filing: 2026-08-31
SEC record: View this firm on the SEC's IAPD site

Disciplinary disclosures

This firm reports 4 disclosure questions answered Yes, covering 4 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.

SEC or CFTC found a false statement or omission
SEC or CFTC found a violation of its regulations or statutes
SEC or CFTC entered an order in connection with investment-related activity
SEC or CFTC imposed a civil money penalty or a cease-and-desist order

Assets and accounts

Provides continuous and regular supervisory or management services	Yes
Discretionary regulatory assets under management	$7.62 billion
Non-discretionary regulatory assets under management	$1.98 billion
Total regulatory assets under management	$9.60 billion
Discretionary accounts	34,913
Non-discretionary accounts	9,716
Total accounts	44,629
Regulatory assets under management attributable to non-U.S. persons	$0

People

Total employees (excluding clerical)	232
Employees performing investment advisory functions (including research)	213
Employees who are registered representatives of a broker-dealer	232
Employees registered as investment adviser representatives with a state	213
Employees registered as IARs for another investment adviser	2
Employees who are licensed insurance agents	229
Firms or persons who solicit advisory clients on the firm's behalf	9

Custody

Has custody of client cash or bank accounts	No
Has custody of client securities	No
A related person has custody of client cash or bank accounts	No
A related person has custody of client securities	No
The firm acts as a qualified custodian	No
A related person acts as a qualified custodian	No

How the firm is compensated

A percentage of assets under managementHourly chargesSubscription fees (for a newsletter or periodical)Fixed fees (other than subscription fees)Commissions

Advisory services offered

Financial planning servicesPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)

Other business activities

Broker-dealer (registered or unregistered)Insurance broker or agent

Affiliated related persons

Other investment adviser (including financial planners)Accountant or accounting firmLawyer or law firmPension consultant

Reported conflicts of interest

Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:

Buys or sells for itself securities it also recommends to clients
Recommends securities in which it has another sales interest
Compensates a non-employee for client referrals
Provides employee compensation specifically for obtaining clients

Client types

Type of client	Clients	Assets
Individuals (other than high net worth individuals)	28,325	$6.65 billion
High net worth individuals	1,502	$2.60 billion
Pension and profit sharing plans (not the participants or government plans)	227	$71.5 million
Charitable organizations	159	$125.3 million
State or municipal government entities (including government pension plans)	Not reported	$107.6 million
Insurance companies	Not reported	$3.0 million
Corporations or other businesses not listed above	96	$46.5 million