Harbour Investment Management L.L.C.
- Regulatory AUM
- $382M
- Discretionary
- $365M
- Clients
- 183
- Avg AUM / client
- $2.1M
- Accounts
- 493
- Employees
- 6
AUM over time
Annual snapshots from Form ADV filings · as of Mar 10, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 99 | $48.4M | 12.7% |
| High net worth individuals | 78 | $269M | 70.5% |
| Pension and profit sharing plans | Fewer than 5 clients | $6.1M | 1.61% |
| Charitable organizations | 6 | $58.0M | 15.2% |
| Corporations and other businesses | Fewer than 5 clients | $225K | 0.06% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Larson Gross P.L.L.C. 401(k) Profit Sharing Plan And Trust Larson Gross P.L.L.C. | 2025 |
People (5)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Erika Lynne Berkenhoff | Portfolio Manager | CFA | Jul 2006 (20y) | 5% – 10% |
| Aalok Kirit Shah | Member | CFP | Jul 2017 (9y) | ≈ 56.25% – 100% via Pacific Harbour Advisors, Llc |
| Carrie Anne Hepburn | Registered representative | Jul 2017 (9y) | ||
| Michael Lee Gill More | Registered representative | CFA | Jul 2023 (3y) | |
| Alvin Dohyun Kwak | Registered representative | Apr 2025 (1y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Pacific Harbour Advisors, Llc | Member | Jan 2019 | A | 75% or more |
Undisclosed: 0% – 20% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Aalok Kirit Shah: 75% – 100% of Pacific Harbour Advisors, Llc × 75% – 100% direct ≈ 56.25% – 100% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (1)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Larson Gross P.L.L.C. 401(k) Profit Sharing Plan And Trust | Larson Gross P.L.L.C. | 0 | $0 | 01/01/2025 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/10/2026 | 1.02 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- Charles Schwab & Co. $382M (100% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 10, 2026.
View current Form ADV (SEC/IAPD) ↗