SourcingSourcing

SAFE HARBOR WEALTH ADVISORS, LLC

C49
CRD 284613·SEC 801-129860·DUBLIN, OH
AUM
$167.2M
$100M-$500M
Est. Revenue
$1.7M
@ 1% on AUM
Est. EBITDA
$502K
@ 30% margin
Est. Deal Value
$4.0M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
SAFE HARBOR WEALTH ADVISORS, LLC
CRD
284613
SEC file #
801-129860
EIN
813161887
DBA names
—

Economics

AUM
$167.2M
AUM band
$100M-$500M
AUM trajectory
'25'26
$162.7M → $167.2M▲ +3%
Client mix
Individuals Other428
Individuals High Net Worth37

Operations

Employees (total)
3
Advisory staff (per ADV)
3
Advisory staff (5-yr trend)
'25'26
3 advisors → 3 advisors▬ 0%
Primary office
DUBLIN OH
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individualsSelection of other advisers
Fee basis
% of AUMFixed feesOther Compensation

Filings

Latest ADV filing
04/10/2026
ADV-W filed at
—
Website
safeharboroh.net

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
SAFE HARBOR INTERMEDIATE, LLC
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
3
Control Persons
SAFE HARBOR INTERMEDIATE, LLC
SICKLES, CORY, JOSEPH
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
SAFEHARBOROH.NET
Rdap Domain Creation Date
2017-04-03T15:59:19Z
Rdap Firm Age Years
9
Rdap Firm Age Band
5-10y
Rdap Registrar
GoDaddy.com, LLC

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0002105610
Edgar Registered
Yes
Edgar Filing Count
1
Edgar First Filing Date
2026-02-13
Edgar Last Filing Date
2026-02-13
Edgar 13f Count
1
Edgar 13f Latest AUM Estimate
Filing Date2026-02-13
Accession0002105610-26-000001

Compliance & brand

Firm Registration Status
active

All other collected signals (16)

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
2
Bc Firm IAR Count
2
Custodian Candidates
Full
Charles Schwab6
E*trade4
Edgar Addresses
Mailing
6099 FRANTZ RDDUBLIN, OH 43017
Business
6099 FRANTZ RDDUBLIN, OH 43017
Edgar EIN
813161887
Edgar Recent Filings
13F-HR2026-02-13 · 0002105610-26-000001
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2029-04-03T15:59:19Z
Rdap Domain Last Changed
2026-04-04T18:34:36Z
Rdap Nameservers
Ns-1486.awsdns-57.orgNs-1661.awsdns-15.co.ukNs-377.awsdns-47.comNs-893.awsdns-47.net
Rdap Secure Dns Enabled
No
Rdap Status
Client Delete ProhibitedClient Renew ProhibitedClient Transfer ProhibitedClient Update Prohibited
Trust Company Affiliate
No

People (3)

3
SICKLES, CORY, JOSEPH
IAR · Executive Officer · 2.5%
6319909
VEECK, HOLLY
Executive Officer · 2.5%
6024640
NICHOLAS MURRAY GROVES
IAR
5205751