Harbour Investments Inc.

Harbour Investments Inc.

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575 D'Onofrio Drive

Madison, WI 53719

(608) 662-6100

harbourinv.com

Clearing firm: Charles Schwab, Pershing LLC, TD Ameritrade

No. advisers: 274

No. franchises: 160

AUM: $9,715,500,000

Year founded: 1987

Year end: Dec. 31

No. of retail offices: 162

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Additional data available to subscribers:
  • No. of reps, male
  • No. of reps, female
  • No. of producing reps, male
  • No. of producing reps, female
  • No. of reps producing $500K+ /year
  • No. of CFPs
  • No. of full-time employees
  • No. of fee-based advisers served
  • Average payout per rep, per year
  • Avg. annual production of top 20% reps
  • Total payout, per year
  • Cost of E&O insurance per rep, per year
  • Affiliation fees charged per rep, per year
  • Affiliation fee coverage
  • Securities revenues
  • Securities revenues: Stocks
  • Securities revenues: Bonds
  • Securities revenues: ETFs
  • Securities revenues: Other
  • Mutual fund revenues
  • Annuities revenues
  • Annuities revenues: Fixed
  • Annuities revenues: Variable
  • Annuities revenues: Other
  • Insurance revenue
  • Insurance revenues: Life
  • Insurance revenues: Disabilities
  • Insurance revenues: LTC
  • Insurance revenues: Other
  • Alternative revenues
  • Alternative revenues: Hedge funds
  • Alternative revenues: Managed futures
  • Alternative revenues: Private placements
  • Alternative revenues: REITs
  • Alternative revenues: Other
  • Other commission revenues
  • Fee revenues: Rep-managed accounts
  • Fee revenues: Firm-managed accounts
  • Fee revenues: Outside-managed accounts
  • Fee revenues: Other
  • Fee-based assets: Clearing firm
  • Fee-based assets: Advisory firm platforms
  • Fee-based assets: Third-party money managers
  • Fee-based assets: Other
  • Is the firm, or an affiliate of the firm, registered as an investment adviser with the SEC?
  • Allows an adviser to have his/her own RIA
  • RIA platform AUM
  • Offers robo-advisory platform?
  • If not, when plans to offer a robo-platform
  • Robo-advice services offered
  • How robo-platform developed
  • Charge for robo-advisory services?

For More Information

CEONick W. Sondel
Recruiting ContactAaron M. Hager
608-662-6100
E-mail
Compliance ContactRich O'Leary
(608) 662-6100
E-mail
Marketing ContactDan Wipperfurth
608-662-6100
E-mail
Technology Operations ContactJim Dushek
(608) 662-6100
E-mail

Recruitment & Staffing

2018 2017 2016
No. of reps274255251
No. of producing reps217214198
No. of reps producing $100K-$499K /year140128110

Payout grid is available to Data Center subscribers only.

Subscribe or log in to the B-D Data Center for access to all available data.

2018 2017 2016
Total revenues$54,914,000$43,799,000$36,997,000
Commission revenues$30,834,000$26,481,000$24,532,000
Fee revenues$24,080,000$17,318,000$12,465,000
Total revenues: Other000
2018 2017 2016
Total account assets$9,715,500,000$9,481,500,000$7,256,000,000
Fee-based assets$2,845,000,000$2,625,000,000$1,600,000,000
Total account assets: Other$6,870,500,000$6,856,500,000$5,656,000,000
Average assets per rep$35,458,029$37,182,353$28,908,367
Social Media & Mobile
Allows advisers to use social mediaY
Social media sites allowedFacebook
LinkedIn
Dedicated mobile application for advisers?N
Primary purpose of mobile application

Jailed broker Mark David Holt loses $477,000 Finra arbitration

September 12, 2017 - Mark David Holt, a former broker currently in prison, has lost a $477,000 Finra arbitration decision to two former clients who had alleged he mismanaged their accounts. The claimants, Peter Izmirian and Sandra Ingwaldson, filed their arbitration claim...

Top independent broker-dealers reveal their payout tables

January 22, 2017 - The 2017 InvestmentNews independent-broker-dealer directory is based on information provided by 90 eligible firms. To be considered for future listings, contact INResearch@investmentnews.com. Visit InvestmentNews.com/bddata for more-complete profiles....

    Notes
  • N/A = Not available
  • N/D = Not disclosed
  • — = Information not available or not disclosed

All 2011-2016 recruitment and staffing data is as of Dec. 31 in the calendar year displayed. Prior year recruitment and staffing data is as of Sept. 30. All financial figures are for firms' year end, unless noted.

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