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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

CLEAR HARBOR ASSET MANAGEMENT, LLC

CRD 152242

STAMFORD, CT

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:9890a89a-47de-5d4f-1e87-ff1fcc31bb45

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:04 AM UTC and rebuilt at most every 15 minutes.

Relationships: 24
Dated events: 6
On other graphs: 0
Observed: Mar 15, 2012 to Mar 30, 2026
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: independent wealth managerderivedprivate_client_share=0.91 fund_share=0.02 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $2.1BItem 5.F on the latest filing (2026-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $2.0B
Private client RAUM: $1.9BderivedItem 5.D individuals plus high net worth individuals
Private client share: 91%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 15
RAUM per advisor: $137Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 24
Advisory employees: 18
Offices: 2Schedule D 1.F, beyond the principal office
Accounts: 1,865
Individual clients: 333
High net worth clients: 451
Private funds: 1Schedule D 7.B(1)
Custody, client assets: $426M
SEC number: 801-70821
CIK: 1511857
CRD: 152242
Filings on the tape: 28
First filed: Mar 15, 2012
Latest filed: Mar 30, 2026
Organised: Limited Liability Company, NY

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
MICHAEL HENRY SCHOLTEN	n/a	DALLAS, TX \| STAMFORD, CT	16	32	1	no
MATTHEW WILLIAM SEXTON	Certified Financial Planner	STAMFORD, CT	6	21	2	no
STEVEN ELLIOT SHAW	n/a	STAMFORD, CT	6	42	1	no
JOSEPH MICHAEL RIZZO	n/a	STAMFORD, CT \| Stamford, CT	6	29	n/a	no
KIRSTIN STERLING MOBYED	n/a	STAMFORD, CT	6	31	4	no
AARON JOHN KENNON	n/a	STAMFORD, CT	6	26	n/a	no
JEB STUART ARMSTRONG	n/a	STAMFORD, CT	6	20	1	no
DONALD ROGER BROOKE LIDDELL	n/a	STAMFORD, CT	6	45	n/a	no
IAN ALEXANDER ARMSTRONG	n/a	STAMFORD, CT	6	22	1	no
HENRIK BRUN	n/a	STAMFORD, CT	4	29	4	no
JAMES DENHAM TALIAFERRO	n/a	STAMFORD, CT	3	36	1	no
JACQUES NONE CATTIER	n/a	STAMFORD, CT	3	29	1	no
Alexander William Maxwell Russell	n/a	STAMFORD, CT	3	16	n/a	no
ROBERT CHARLES DALLDORF	n/a	Wilton, CT \| STAMFORD, CT	1	43	1	no
SCOTT M BOGAN	n/a	STAMFORD, CT	1	30	4	no

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
SPECTRUM VALUE PARTNERS, L.P.	Hedge Fund	$28.1M	Mar 30, 2026	17	Mar 15, 2012	reported	021-128071
DAUNTLESS EMERGING MARKETS COMPLETE FUND LLC	Hedge Fund	$4.5M	Mar 31, 2023	17	Mar 30, 2021	dropped	021-389438
ONCOREV GLOBAL ONCOLOGY ECOSYSTEM FUND LP	Hedge Fund	$4.1M	Dec 11, 2024	20	Mar 31, 2023	dropped	021-462532

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
ARMSTRONG, IAN, ALEXANDER	CHIEF OPERATIONS OFFICER	B	yes	12/2009	Mar 30, 2026	Mar 30, 2026
KENNON, AARON, JOHN	CHIEF EXECUTIVE OFFICER	D	yes	12/2009	Mar 30, 2026	Mar 30, 2026
LIDDELL, DONALD ROGER, BROOKE	VICE- CHAIRMAN	B	yes	05/2010	Mar 30, 2026	Mar 30, 2026
ADAMCZYK, DENISE, MARIE	CHIEF COMPLIANCE OFFICER	Na	no	03/2021	Mar 30, 2026	Mar 30, 2026

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
ONCOREV, LLC	n/a	n/a	n/a	N	no	n/a
SPECTRUM VALUE PARTNERS, LLC	n/a	n/a	n/a	N	no	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Wilton	Ct	United States	1	no
n/a	n/a	n/a	1	no

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
2025	Mar 30, 2026	$2.1B	$2.0B	24	18	2	1	n/a
2024	Mar 27, 2025	$1.7B	$1.7B	26	19	2	2	n/a
2023	Mar 28, 2024	$1.5B	$1.5B	19	14	1	2	$21.8M
2022	Mar 31, 2023	$1.0B	$1.0B	20	14	1	3	$22.5M
2021	Mar 30, 2022	$1.2B	$1.2B	22	17	1	2	$22.2M
2020	Mar 30, 2021	$921M	$919M	18	13	1	2	$16.9M
2019	Mar 5, 2020	$792M	$790M	17	12	1	1	$11.9M
2018	Jan 31, 2019	$644M	$642M	15	10	1	1	$16.0M
2017	Mar 7, 2018	$741M	$739M	15	11	1	1	$41.4M
2016	Mar 3, 2017	$652M	$651M	15	11	n/a	1	$37.7M
2015	Feb 2, 2016	$606M	$605M	13	8	n/a	1	$44.7M
2014	Mar 14, 2015	$654M	$653M	13	8	n/a	1	$43.9M
2013	Mar 12, 2014	$494M	$493M	10	8	n/a	1	$30.2M
2012	Mar 11, 2013	$425M	$423M	11	8	n/a	1	$33.9M
2011	Mar 15, 2012	$377M	$375M	n/a	n/a	n/a	1	$26.2M

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	2	0

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
2025	$2.1B	$1.7B	17.9%	$1.0B	25.4%	24	26	2	2

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
SECURITY ASSET MANAGEMENT, INC.	2	Mar 31, 2023	Feb 1, 2023	NEW YORK, NY	Team lift out	RIA to RIA	100.0%

Relationships

Registered with (16)

← SCOTT M BOGANAdvisorregistration: current employment
Mar 7, 2025 to presentfactForm ADV
← ROBERT CHARLES DALLDORFAdvisorregistration: current employment
Sep 26, 2024 to presentfactForm ADV
← Alexander William Maxwell RussellAdvisorregistration: current employment
Aug 2, 2023 to presentfactForm ADV
← JAMES DENHAM TALIAFERROAdvisorregistration: current employment
Feb 1, 2023 to presentfactForm ADV
← JACQUES NONE CATTIERAdvisorregistration: current employment
Feb 1, 2023 to presentfactForm ADV
← HENRIK BRUNAdvisorregistration: current employment
Oct 7, 2021 to presentfactForm ADV
← STEVEN ELLIOT SHAWAdvisorregistration: current employment
Jul 14, 2020 to presentfactForm ADV
← JOSEPH MICHAEL RIZZOAdvisorregistration: current employment
Jul 14, 2020 to presentfactForm ADV
← KIRSTIN STERLING MOBYEDAdvisorregistration: current employment
Jul 14, 2020 to presentfactForm ADV
← AARON JOHN KENNONAdvisorregistration: current employment
Jul 14, 2020 to presentfactForm ADV
← JEB STUART ARMSTRONGAdvisorregistration: current employment
Jul 14, 2020 to presentfactForm ADV
← DONALD ROGER BROOKE LIDDELLAdvisorregistration: current employment
Jul 14, 2020 to presentfactForm ADV
← IAN ALEXANDER ARMSTRONGAdvisorregistration: current employment
Jul 14, 2020 to presentfactForm ADV
← MATTHEW WILLIAM SEXTONAdvisorregistration: current employment
Jul 13, 2020 to presentfactForm ADV
← MICHAEL HENRY SCHOLTENAdvisorregistration: current employment
Feb 16, 2010 to presentfactForm ADV
← TIMOTHY OWEN DRINKALLAdvisorregistration: previous registration
Dec 24, 2020 to Mar 13, 2023factForm ADV

Advises (3)

→ SPECTRUM VALUE PARTNERS, L.P.Private fundHedge Fund, IA
Mar 15, 2012 to presentfactForm ADV
→ ONCOREV GLOBAL ONCOLOGY ECOSYSTEM FUND LPPrivate fundHedge Fund, IA
Mar 31, 2023 to presentfactForm ADV
→ DAUNTLESS EMERGING MARKETS COMPLETE FUND LLCPrivate fundHedge Fund, IA, no longer reported
Mar 30, 2021 to Mar 31, 2023factForm ADV

Owns (1)

← ADAMCZYK, DENISE, MARIEOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 30, 2021 to Dec 11, 2024factForm ADV

Controls (3)

← KENNON, AARON, JOHNOwnerCHIEF EXECUTIVE OFFICER, ownership code D, individual
Mar 15, 2012 to Dec 11, 2024factForm ADV
← LIDDELL, DONALD ROGER, BROOKEOwnerVICE-CHAIRMAN, ownership code B, individual
Mar 15, 2012 to Dec 11, 2024factForm ADV
← ARMSTRONG, IAN, ALEXANDEROwnerCHIEF OPERATIONS OFFICER, ownership code B, individual
Mar 15, 2012 to Dec 11, 2024factForm ADV

Moved with (1)

← SECURITY ASSET MANAGEMENT, INC.Registered adviser2 advisors, team lift out, same day
Mar 31, 2023 to Feb 1, 2023factForm ADV

Dated events

2 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Mar 28, 2024
Regulatory AUM changed
Clear Harbor Asset Management, Llc reported RAUM $1.5B, up 40% from $1.0B (2023-03-31 to 2024-03-28)
Form ADVobserved 4 days ago
$421M
Occurred
Mar 31, 2023
Team lift-out
2 advisors left Security Asset Management, Inc. (New York, NY) for Clear Harbor Asset Management, LLC on the same day
Form ADVobserved 3 days ago
2 advisors
Occurred
Mar 13, 2023
Advisor changed firm
Timothy Owen Drinkall left Clear Harbor Asset Management, Llc for Oppenheimer & Co. Inc. (registered 2024-05-09)
Form ADVobserved 4 days ago
Occurred
Mar 30, 2022
Regulatory AUM changed
Clear Harbor Asset Management, Llc reported RAUM $1.2B, up 28% from $920.5M (2021-03-30 to 2022-03-30)
Form ADVobserved 4 days ago
$259M

Show 2 bookkeeping events

Occurred
Mar 27, 2025
Clear Harbor Asset Management, Llc reported 15 state-registered advisory representatives, up from 0 (2024-12-11 to 2025-03-27)
Occurred
Mar 28, 2024
Clear Harbor Asset Management, Llc reported 0 state-registered advisory representatives, down from 12 (2023-03-31 to 2024-03-28)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9890a89a-47de-5d4f-1e87-ff1fcc31bb45
First observed: Mar 15, 2012
Last observed: Mar 30, 2026 5 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.

CLEAR HARBOR ASSET MANAGEMENT, LLC

CRD 152242

STAMFORD, CT

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:9890a89a-47de-5d4f-1e87-ff1fcc31bb45

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:04 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

MICHAEL HENRY SCHOLTEN

n/a

DALLAS, TX | STAMFORD, CT

MATTHEW WILLIAM SEXTON

Certified Financial Planner

STAMFORD, CT

STEVEN ELLIOT SHAW

n/a

STAMFORD, CT

JOSEPH MICHAEL RIZZO

n/a

STAMFORD, CT | Stamford, CT

n/a

KIRSTIN STERLING MOBYED

n/a

STAMFORD, CT

AARON JOHN KENNON

n/a

STAMFORD, CT

n/a

JEB STUART ARMSTRONG

n/a

STAMFORD, CT

DONALD ROGER BROOKE LIDDELL

n/a

STAMFORD, CT

n/a

IAN ALEXANDER ARMSTRONG

n/a

STAMFORD, CT

HENRIK BRUN

n/a

STAMFORD, CT

JAMES DENHAM TALIAFERRO

n/a

STAMFORD, CT

JACQUES NONE CATTIER

n/a

STAMFORD, CT

Alexander William Maxwell Russell

n/a

STAMFORD, CT

n/a

ROBERT CHARLES DALLDORF

n/a

Wilton, CT | STAMFORD, CT

SCOTT M BOGAN

n/a

STAMFORD, CT

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

SPECTRUM VALUE PARTNERS, L.P.

Hedge Fund

$28.1M

Mar 30, 2026

Mar 15, 2012

reported

021-128071

DAUNTLESS EMERGING MARKETS COMPLETE FUND LLC

Hedge Fund

$4.5M

Mar 31, 2023

Mar 30, 2021

dropped

021-389438

ONCOREV GLOBAL ONCOLOGY ECOSYSTEM FUND LP

Hedge Fund

$4.1M

Dec 11, 2024

Mar 31, 2023

dropped

021-462532

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ARMSTRONG, IAN, ALEXANDER

CHIEF OPERATIONS OFFICER

yes

12/2009

Mar 30, 2026

KENNON, AARON, JOHN

CHIEF EXECUTIVE OFFICER

yes

12/2009

Mar 30, 2026

LIDDELL, DONALD ROGER, BROOKE

VICE- CHAIRMAN

yes

05/2010

Mar 30, 2026

ADAMCZYK, DENISE, MARIE

CHIEF COMPLIANCE OFFICER

03/2021

Mar 30, 2026

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

ONCOREV, LLC

n/a

SPECTRUM VALUE PARTNERS, LLC

n/a

City

State

Country

Employees

Also broker-dealer

Wilton

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 30, 2026

$2.1B

$2.0B

n/a

2024

Mar 27, 2025

$1.7B

n/a

2023

Mar 28, 2024

$1.5B

$21.8M

2022

Mar 31, 2023

$1.0B

$22.5M

2021

Mar 30, 2022

$1.2B

$22.2M

2020

Mar 30, 2021

$921M

$919M

$16.9M

2019

Mar 5, 2020

$792M

$790M

$11.9M

2018

Jan 31, 2019

$644M

$642M

$16.0M

2017

Mar 7, 2018

$741M

$739M

$41.4M

2016

Mar 3, 2017

$652M

$651M

n/a

$37.7M

2015

Feb 2, 2016

$606M

$605M

n/a

$44.7M

2014

Mar 14, 2015

$654M

$653M

n/a

$43.9M

2013

Mar 12, 2014

$494M

$493M

n/a

$30.2M

2012

Mar 11, 2013

$425M

$423M

n/a

$33.9M

2011

Mar 15, 2012

$377M

$375M

n/a

$26.2M

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$2.1B

$1.7B

17.9%

$1.0B

25.4%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

SECURITY ASSET MANAGEMENT, INC.

Mar 31, 2023

Feb 1, 2023

NEW YORK, NY

Team lift out

RIA to RIA

100.0%