Bay Harbor Wealth Management, Llc
- Regulatory AUM
- $412M
- Discretionary
- $412M
- Clients
- 399
- Avg AUM / client
- $1.0M
- Accounts
- 1,375
- Employees
- 6
AUM over time
Annual snapshots from Form ADV filings · as of Mar 20, 2026
Investments (13F portfolio — 1,301 positions, $385,706,238)
13F period Mar 31, 2026| # | Issuer | Class | Value | Shares | % of 13F | % of AUM |
|---|---|---|---|---|---|---|
| 1 | Dimensional Us Core Equity Market Etf | Exchange Traded Fund | $31,948,125 | 708,070 | 8.28% | 7.75% |
| 2 | Ishares Core Total Usd Bond Market Etf | Exchange Traded Fund | $21,289,294 | 460,907 | 5.52% | 5.17% |
| 3 | Vanguard Growth Etf | Exchange Traded Fund | $20,844,055 | 47,721 | 5.4% | 5.06% |
| 4 | Vanguard Ftse Developed Markets Etf | Exchange Traded Fund | $20,550,904 | 320,707 | 5.33% | 4.99% |
| 5 | Ishares Core S&P 500 Etf | Exchange Traded Fund | $19,777,679 | 30,278 | 5.13% | 4.8% |
| 6 | Ishares S&P 500 Value Etf | Exchange Traded Fund | $15,981,521 | 75,688 | 4.14% | 3.88% |
| 7 | Vanguard Value Etf | Exchange Traded Fund | $15,574,191 | 79,379 | 4.04% | 3.78% |
| 8 | Vanguard Total International Bond Etf | Exchange Traded Fund | $14,700,705 | 305,946 | 3.81% | 3.57% |
| 9 | Vanguard Short Term Bond Etf | Exchange Traded Fund | $14,042,995 | 179,097 | 3.64% | 3.41% |
| 10 | Ishares S&P 500 Growth Etf | Exchange Traded Fund | $13,404,439 | 118,508 | 3.48% | 3.25% |
| 11 | Ishares U.S. Equity Factor Rotation Active Etf | Exchange Traded Fund | $13,391,814 | 230,179 | 3.47% | 3.25% |
| 12 | Ishares Core Msci Emerging Markets Etf | Exchange Traded Fund | $12,209,040 | 175,040 | 3.17% | 2.96% |
| 13 | Dimensional Short Duration Fixed Income Etf | Exchange Traded Fund | $11,716,283 | 244,701 | 3.04% | 2.84% |
| 14 | Ishares Msci Eafe Value Etf | Exchange Traded Fund | $11,593,067 | 155,926 | 3.01% | 2.81% |
| 15 | Dimensional International Core Equity Market Etf | Exchange Traded Fund | $9,891,357 | 253,885 | 2.56% | 2.4% |
| 16 | Dimensional Core Fixed Income Etf | Exchange Traded Fund | $7,910,546 | 187,365 | 2.05% | 1.92% |
| 17 | Vanguard Ftse Emerging Markets Etf | Exchange Traded Fund | $7,556,622 | 139,808 | 1.96% | 1.83% |
| 18 | Ishares 10 20 Year Treasury Bond Etf | Exchange Traded Fund | $7,266,545 | 72,146 | 1.88% | 1.76% |
| 19 | Ishares U.S. Treasury Bond Etf | Exchange Traded Fund | $7,015,225 | 306,208 | 1.82% | 1.7% |
| 20 | Vanguard Mortgage Backed Securities Etf | Exchange Traded Fund | $6,966,065 | 148,372 | 1.81% | 1.69% |
| 21 | Vanguard Intermediate Term Bond Etf | Exchange Traded Fund | $6,835,678 | 88,568 | 1.77% | 1.66% |
| 22 | Ishares Msci Eafe Growth Etf | Exchange Traded Fund | $6,759,045 | 60,690 | 1.75% | 1.64% |
| 23 | Ishares Mbs Etf | Exchange Traded Fund | $6,688,847 | 70,446 | 1.73% | 1.62% |
| 24 | Vanguard Long Term Bond Etf | Exchange Traded Fund | $6,641,947 | 96,568 | 1.72% | 1.61% |
| 25 | Ishares Msci Usa Momentum Factor Etf | Exchange Traded Fund | $6,486,929 | 27,030 | 1.68% | 1.57% |
Top 25 of 1,301 positions from the manager's latest Form 13F · source filing (EDGAR) ↗. 13F covers long US-listed positions only. "% of AUM" is share of the firm's total regulatory AUM (Form ADV Item 5.F).
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 266 | $99.9M | 24.2% |
| High net worth individuals | 130 | $308M | 74.9% |
| Corporations and other businesses | 3 | $3.7M | 0.9% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Baker Donelson Bearman Caldwell & Berkowitz Retirement Savings Plan Baker Donelson Bearman Caldwell & Berkowitz P.C. | 2024 |
People (3)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Lance Reid Scott | President/Chief Compliance Officer | Aug 2018 (8y) | 75% or more | |
| John Francis Moran | Registered representative | CFP | Oct 2018 (8y) | |
| Andrew Benjamin Anthony | Registered representative | Jul 2023 (3y) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
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 |
|---|---|---|---|---|
| Baker Donelson Bearman Caldwell & Berkowitz Retirement Savings Plan | Baker Donelson Bearman Caldwell & Berkowitz P.C. | 1,160 | $628M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/20/2026 | 976 KB | 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
- • Selection of other advisers
Custody
Reported custodians
- Charles Schwab & Co. $394M (96% of AUM) Mar 2026
- Fidelity Brokerage Services $30.9M (14% of AUM) Jun 2021
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 20, 2026.
View current Form ADV (SEC/IAPD) ↗