HARBOUR INVESTMENTS, INC.

CRD

19258

SEC file #

801-29185

EIN

376598513

DBA names

—

Economics

AUM

$9.60B

AUM band

$1B+

AUM trajectory

'20 · $1.96B

'21 · $2.75B

'22 · $4.70B

'23 · $4.70B

'25 · $7.57B

'26 · $9.60B

'20'26

$1.96B → $9.60B▲ +389%

sec adv history

Client mix

Individuals Other	28,325
Individuals High Net Worth	1,502
Pension Profit Sharing Plans	227
Charitable Organizations	159
Corporations	96

Operations

Employees (total)

232

Advisory staff (per ADV)

213

Advisory staff (5-yr trend)

'20 · 177 advisors

'21 · 177 advisors

'22 · 193 advisors

'23 · 193 advisors

'25 · 212 advisors

'26 · 213 advisors

'20'26

177 advisors → 213 advisors▲ +20%

sec adv history

Primary office

MADISON WI

Branches

—

Custodian & Brokerage

Primary custodian

E*Tradelow confidence

adv brochure

Services offered

Financial planningPortfolio mgmt — individualsSelection of other advisers

Fee basis

% of AUMHourly chargesSubscription feesFixed fees

Filings

Latest ADV filing

04/28/2026

twitter.com/harbourcomp(social)

ADV-W filed at

—

Website

Compliance

Disclosures (firm)

Trademark

—

Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name

SONDEL, NICK WILLIAM

Top Owner Pct

87.5

Top Owner Entity Kind

Owner Count

Control Persons

SONDEL, NICK WILLIAM

CONWELL, SCOTT OWEN

Solo Advisor Indicator

Succession Risk Solo Owner

Yes

Is Parent Owned Subsidiary

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed

sec adv w

Web presence ★

Stale website = winding down

Web Signal Quality

fallback_guess:harbour.com

rdap

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book

Yes

Form 5500 Plan Count

Form 5500 Total Compensation

176,270

Form 5500 Compensation Trajectory 3y

2025	165,470
2026	10,800

Form 5500 Plan Count Trajectory 3y

2025	6
2026	1

Schedule C Total Compensation

176,270

Schedule C Service Provider Rows

SEC EDGAR

Edgar Cik

0001651314

Edgar Registered

Yes

Edgar Filing Count

Edgar First Filing Date

2015-09-03

Edgar Last Filing Date

2015-12-29

Edgar Form D Count

Edgar Form D Offerings

2015-12-292015-12-29 · 0000950138-15-000747

2015-09-032015-09-03 · 0000950138-15-000596

Compliance & brand

Firm Registration Status

active

sec adv w

All other collected signals (12)

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

Adv W Recently Filed

sec adv w

Bc Firm Active Bc Count

brokercheck firm search

Bc Firm Active IA Count

brokercheck firm search

Bc Firm IAR Count

brokercheck firm search

Custodian Candidates

Full

E*trade

adv brochure

Edgar Addresses

Mailing

2901 BUTTERFIELD ROADOAK BROOK, IL 60523

Business

2901 BUTTERFIELD ROADOAK BROOK, IL 60523

Edgar EIN

376598513

Edgar Recent Filings

D/A2015-12-29 · 0000950138-15-000747

D2015-09-03 · 0000950138-15-000596

Firm Has Custody

Mailing Office Differs

Top Owner CRD

1261064

Trust Company Affiliate

IAR · Direct Owner · 87.5%

People (51)

SONDEL, NICK WILLIAM

1261064

DUSHEK, JAMES WALTER

WIPPERFURTH, DANIEL THOMAS

4323103

4029404

HAGER, AARON MICHAEL

5017811

KOPITZKE, KYLE LEE

5675560

MEYER, RHONDA LEE

2285226

MEDLAND, RICHARD ONEILL

2748242

NELLES, JULIE MARIE