SourcingSourcing

PRIVATE HARBOUR INVESTMENT MANAGEMENT & COUNSEL LLC.

A71
CRD 146928·SEC 801-69044
AUM
$169.2M
$100M-$500M
Est. Revenue
$1.7M
@ 1% on AUM
Est. EBITDA
$508K
@ 30% margin
Est. Deal Value
$4.1M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
PRIVATE HARBOUR INVESTMENT MANAGEMENT & COUNSEL LLC.
CRD
146928
SEC file #
801-69044
EIN
262172644
DBA names
—

Economics

AUM
$169.2M
AUM band
$100M-$500M
AUM trajectory
'20'26
$170.5M → $169.2M▼ -1%
Client mix
Individuals Other86
Individuals High Net Worth49
Pension Profit Sharing Plans2
Charitable Organizations2
Corporations2

Operations

Employees (total)
1
Advisory staff (per ADV)
1
Advisory staff (5-yr trend)
'20'26
2 advisors → 1 advisors▼ -50%
Primary office
—
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individualsPublication of periodicals
Fee basis
% of AUM

Filings

Latest ADV filing
03/27/2026
ADV-W filed at
—
Website
—

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
BLUE, JAMES, ALAN
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
1
Control Persons
BLUE, JAMES, ALAN
Solo Advisor Indicator
Yes
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0001453526
Edgar Registered
Yes
Edgar Filing Count
65
Edgar First Filing Date
2010-05-07
Edgar Last Filing Date
2026-04-30
Edgar 13f Count
64
Edgar 13f Latest AUM Estimate
Filing Date2026-04-30
Accession0001453526-26-000005

Compliance & brand

Firm Registration Status
active

All other collected signals (11)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
1
Bc Firm IAR Count
1
Custodian Candidates
Full
Charles Schwab4
E*trade4
Edgar Addresses
Mailing
377 TROUBADOUR DR.SAGAMORE HILLS, OH 44067
Business
377 TROUBADOUR DR.SAGAMORE HILLS, OH 44067
Edgar EIN
262172644
Edgar Recent Filings
13F-HR2026-04-30 · 0001453526-26-000005
13F-HR2026-02-17 · 0001453526-26-000004
Firm Has Custody
No
Top Owner CRD
2703373
Trust Company Affiliate
No

People (1)

1
BLUE, JAMES, ALAN
IAR · Direct Owner · 87.5%
2703373