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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

GOOD HARBOR FINANCIAL

GOOD HARBOR FINANCIAL, LLC, CRD 127351

BARRINGTON, IL

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Search this name across graphsid dfx:ria:113ff6b3-2170-4a02-1c78-671afdcfe3f6

Data as of Mar 17, 2022 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:27 PM UTC and rebuilt at most every 15 minutes.

Relationships: 32
Dated events: 4
On other graphs: 0
Observed: Mar 30, 2012 to Mar 17, 2022
28 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $20.6MItem 5.F on the latest filing (2022-03-17); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $20.6M
Private client RAUM: $883,959derivedItem 5.D individuals plus high net worth individuals
Private client share: 4%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5
Advisory employees: 4
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 2
High net worth clients: 0
SEC number: 801-71064
CRD: 127351
Filings on the tape: 28
First filed: Mar 30, 2012
Latest filed: Mar 17, 2022
Organised: Limited Liability Company, Delaware

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
GOOD HARBOR U.S. TACTICAL CORE FUND, L.P.	Other Private Fund	$31.6M	Oct 3, 2014	1	Jan 7, 2013	dropped	n/a
GOOD HARBOR U.S. TACTICAL OFFSHORE FUND LTD.	Other Private Fund	$31.6M	Oct 3, 2014	1	Jan 7, 2013	dropped	n/a
CEDAR CAPITAL SPECIAL OPPORTUNITIES FUND I LP	Hedge Fund	$616,000	Mar 30, 2012	11	Mar 30, 2012	dropped	021-9999999999

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
CEDAR CAPITAL INVESTMENTS HOLDINGS, LLC	Member	E	yes	03/2008	Jan 15, 2015	Mar 17, 2022
CEDAR CAPITAL, LLC	MANAGING MEMBER	E	yes	03/2008	Mar 28, 2013	Mar 17, 2022
INGERSOLL CEDAR LLC	Member	C	yes	03/2013	May 9, 2014	Mar 17, 2022
INGERSOLL, PAUL, RUSSELL	MEMBER/MANAGER	F	yes	03/2008	Mar 30, 2012	Mar 17, 2022
INGERSOLL, PAUL, RUSSELL	CHIEF EXECUTIVE OFFICER	Na	yes	12/2007	Mar 30, 2012	Mar 17, 2022
MCGOWAN, CHRISTOPHER, JOHN	Manager	F	yes	01/2014	Jan 15, 2015	Mar 17, 2022
PATEL, YASHESH, KAMLESH	CHIEF OPERATING OFFICER	Na	yes	07/2011	Mar 28, 2013	Mar 17, 2022
PEPLINSKI CEDAR LLC	Member	D	yes	03/2013	May 9, 2014	Mar 17, 2022
PEPLINSKI, NEIL, RAY	CHIEF INVESTMENT OFFICER	Na	yes	04/2003	Mar 30, 2012	Mar 17, 2022
PEPLINSKI, NEIL, RAY	MEMBER/MANAGER	F	yes	03/2008	Mar 30, 2012	Mar 17, 2022
SWANSON, KEVIN, W	CHIEF COMPLIANCE OFFICER	Na	yes	03/2016	Jun 8, 2016	Mar 17, 2022

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
CEDAR CAPITAL, LLC	n/a	Former SEC adviser	$30.9M	Y	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2021	Mar 17, 2022	$20.6M	$20.6M	5	4	0	n/a	n/a
2020	Mar 19, 2021	$40.3M	$40.3M	5	4	0	n/a	n/a
2019	Mar 5, 2020	$230M	$230M	7	6	0	n/a	n/a
2018	Mar 14, 2019	$232M	$232M	7	6	0	n/a	n/a
2017	Mar 13, 2018	$302M	$302M	8	6	0	n/a	n/a
2016	Jan 17, 2017	$373M	$373M	10	6	n/a	n/a	n/a
2015	Feb 8, 2016	$733M	$733M	11	6	n/a	n/a	n/a
2014	Jan 15, 2015	$3.3B	$3.3B	11	6	n/a	n/a	n/a
2013	Mar 28, 2014	$7.4B	$7.4B	62	6	n/a	2	$63.2M
2012	Mar 28, 2013	$2.9B	$2.9B	28	5	n/a	2	$43.5M
2011	Mar 30, 2012	$1.6B	$1.3B	n/a	n/a	n/a	1	$616,000

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2021	$20.6M	$40.3M	-48.9%	$232M	-55.4%	5	5	0	0

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
CEDAR CAPITAL, LLC	7	Jan 2, 2015	Feb 24, 2015	BARRINGTON, IL	Firm absorbed	Other	58.3%

Relationships

Affiliated with (2)

→ CEDAR CAPITAL, LLCRegistered adviserother investment adviser, control, common control
factForm ADV
← BROADMEADOW CAPITAL, LLCRegistered adviserother investment adviser, bank, common control
factForm ADV

Controls (9)

← MCGOWAN, CHRISTOPHER, JOHNOwnerMANAGER, ownership code F, individual
Jan 15, 2015 to presentfactForm ADV
← PEPLINSKI, NEIL, RAYOwnerMEMBER/MANAGER, ownership code F, individual
Mar 30, 2012 to presentfactForm ADV
← INGERSOLL, PAUL, RUSSELLOwnerMEMBER/MANAGER, ownership code F, individual
Mar 30, 2012 to presentfactForm ADV
← PATEL, YASHESH, KAMLESHOwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Mar 28, 2013 to presentfactForm ADV
← SWANSON, KEVIN, WOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jun 8, 2016 to presentfactForm ADV
← CEDAR CAPITAL INVESTMENTS HOLDINGS, LLCOwnerMEMBER, ownership code E, domestic entity
Jan 15, 2015 to presentfactForm ADV
← CEDAR CAPITAL, LLCOwnerMANAGING MEMBER, ownership code E, domestic entity
Mar 28, 2013 to presentfactForm ADV
← INGERSOLL CEDAR LLCOwnerMEMBER, ownership code C, domestic entity
May 9, 2014 to presentfactForm ADV
← PEPLINSKI CEDAR LLCOwnerMEMBER, ownership code D, domestic entity
May 9, 2014 to presentfactForm ADV

Registered with (13)

← NEIL RAY PEPLINSKIAdvisorregistration: previous registration
Mar 30, 2009 to Aug 16, 2022factForm ADV
← THOMAS GEORGE KOLESKIAdvisorregistration: previous registration
May 18, 2018 to Aug 16, 2022factForm ADV
← THOMAS HINESAdvisorregistration: previous registration
Sep 15, 2010 to May 18, 2018factForm ADV
← Michael BalchAdvisorregistration: previous registration
Jun 6, 2013 to Jan 2, 2015factForm ADV
← MARGARET MARY OLEARYAdvisorregistration: previous registration
Jun 6, 2013 to Jan 2, 2015factForm ADV
← JAMES JOSEPH DUDDEYAdvisorregistration: previous registration
Jun 13, 2014 to Jan 2, 2015factForm ADV
← MICHAEL JUSTIN SALEMYAdvisorregistration: previous registration
Mar 28, 2014 to Jan 2, 2015factForm ADV
← KEVIN WILLIAM REILLYAdvisorregistration: previous registration
Aug 9, 2013 to Jan 2, 2015factForm ADV
← ERIC LAWRENCE BIEGELEISENAdvisorregistration: previous registration
Dec 15, 2014 to Jan 2, 2015factForm ADV
← DENNIS G O'MALLEYAdvisorregistration: previous registration
Mar 28, 2014 to Jan 2, 2015factForm ADV
← MATTHEW ALAN ROMAAdvisorregistration: previous registration
Jun 6, 2013 to Jan 2, 2015factForm ADV
← David Stephen UlmAdvisorregistration: previous registration
Mar 17, 2014 to Jan 2, 2015factForm ADV
← Thomas Lee PetricAdvisorregistration: previous registration
Aug 4, 2014 to Jan 2, 2015factForm ADV

Moved with (1)

→ CEDAR CAPITAL, LLCRegistered adviser7 advisors, firm absorbed, same day
Jan 2, 2015 to Feb 24, 2015factForm ADV

Advises (3)

→ GOOD HARBOR U.S. TACTICAL OFFSHORE FUND LTD.Private fundOther Private Fund, IA, no longer reported
Jan 7, 2013 to Oct 3, 2014factForm ADV
→ GOOD HARBOR U.S. TACTICAL CORE FUND, L.P.Private fundOther Private Fund, IA, no longer reported
Jan 7, 2013 to Oct 3, 2014factForm ADV
→ CEDAR CAPITAL SPECIAL OPPORTUNITIES FUND I LPPrivate fundHedge Fund, IA, no longer reported
Mar 30, 2012 to Mar 30, 2012factForm ADV

Dated events

Occurred
Aug 16, 2022
Advisor changed firm
Neil Ray Peplinski left Good Harbor Financial for Cedar Capital, Llc (registered 2015-11-25)
Form ADVobserved 5 days ago
Occurred
Aug 16, 2022
Advisor departed, no destination yet
Thomas George Koleski no longer registered at Good Harbor Financial; no later IA registration on IAPD
Form ADVobserved 5 days ago
Occurred
Mar 19, 2021
Regulatory AUM changed
Good Harbor Financial reported RAUM $40.3M, down 83% from $230.4M (2020-12-15 to 2021-03-19)
Form ADVobserved 5 days ago
$-190M
Occurred
Mar 14, 2019
Control person left
N Richard Garman (Manager) no longer on Schedule A of Good Harbor Financial (listed 2018-12-07, absent 2019-03-14)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:113ff6b3-2170-4a02-1c78-671afdcfe3f6
First observed: Mar 30, 2012
Last observed: Mar 17, 2022 54 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

GOOD HARBOR FINANCIAL

GOOD HARBOR FINANCIAL, LLC, CRD 127351

BARRINGTON, IL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:113ff6b3-2170-4a02-1c78-671afdcfe3f6

Data as of Mar 17, 2022 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:27 PM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

GOOD HARBOR U.S. TACTICAL CORE FUND, L.P.

Other Private Fund

$31.6M

Oct 3, 2014

Jan 7, 2013

dropped

n/a

GOOD HARBOR U.S. TACTICAL OFFSHORE FUND LTD.

Other Private Fund

$31.6M

Oct 3, 2014

Jan 7, 2013

dropped

n/a

CEDAR CAPITAL SPECIAL OPPORTUNITIES FUND I LP

Hedge Fund

$616,000

Mar 30, 2012

dropped

021-9999999999

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CEDAR CAPITAL INVESTMENTS HOLDINGS, LLC

Member

yes

03/2008

Jan 15, 2015

Mar 17, 2022

CEDAR CAPITAL, LLC

MANAGING MEMBER

yes

03/2008

Mar 28, 2013

Mar 17, 2022

INGERSOLL CEDAR LLC

Member

yes

03/2013

May 9, 2014

Mar 17, 2022

INGERSOLL, PAUL, RUSSELL

MEMBER/MANAGER

yes

03/2008

Mar 30, 2012

Mar 17, 2022

INGERSOLL, PAUL, RUSSELL

CHIEF EXECUTIVE OFFICER

yes

12/2007

Mar 30, 2012

Mar 17, 2022

MCGOWAN, CHRISTOPHER, JOHN

Manager

yes

01/2014

Jan 15, 2015

Mar 17, 2022

PATEL, YASHESH, KAMLESH

CHIEF OPERATING OFFICER

yes

07/2011

Mar 28, 2013

Mar 17, 2022

PEPLINSKI CEDAR LLC

Member

yes

03/2013

May 9, 2014

Mar 17, 2022

PEPLINSKI, NEIL, RAY

CHIEF INVESTMENT OFFICER

yes

04/2003

Mar 30, 2012

Mar 17, 2022

PEPLINSKI, NEIL, RAY

MEMBER/MANAGER

yes

03/2008

Mar 30, 2012

Mar 17, 2022

SWANSON, KEVIN, W

CHIEF COMPLIANCE OFFICER

yes

03/2016

Jun 8, 2016

Mar 17, 2022

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

CEDAR CAPITAL, LLC

n/a

Former SEC adviser

$30.9M

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2021

Mar 17, 2022

$20.6M

n/a

2020

Mar 19, 2021

$40.3M

n/a

2019

Mar 5, 2020

$230M

n/a

2018

Mar 14, 2019

$232M

n/a

2017

Mar 13, 2018

$302M

n/a

2016

Jan 17, 2017

$373M

n/a

2015

Feb 8, 2016

$733M

n/a

2014

Jan 15, 2015

$3.3B

n/a

2013

Mar 28, 2014

$7.4B

n/a

$63.2M

2012

Mar 28, 2013

$2.9B

n/a

$43.5M

2011

Mar 30, 2012

$1.6B

$1.3B

n/a

$616,000

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2021

$20.6M

$40.3M

-48.9%

$232M

-55.4%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

CEDAR CAPITAL, LLC

Jan 2, 2015

Feb 24, 2015

BARRINGTON, IL

Firm absorbed

Other

58.3%