DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Harbourview Asset Management Corporation

Former SEC-registered adviserNew York, New YorkCRD 104979SEC 801-27136IAPD
Latest filing Feb 8, 2021
First filing on the tape Mar 30, 2012 · 18 filings
RAUM
$386M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
0
0 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
1
$386M gross assets
History
18 filings and snapshots on the tape
RAUM$386M as of Mar 23, 2020
Mar 30, 2012$2.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 23, 2020
Mar 30, 20120 then
Employees (5.A)0 as of Mar 23, 2020
Mar 28, 201316 then
Private funds1 as of Mar 23, 2020
Mar 30, 20129 then
RAUM -1.3% over the last fiscal year-1.2% a year over threeIARs 0 to 0offices 1 to 3
Practice profile
derived from the filing of Feb 8, 2021; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$386MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived4 offices incl. principal (1.F.5)
RAUM growth, one year
-1.3%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-based, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$386M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      9 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Aaardvark Funding Limitedno longer reportedSecuritized Asset Fund$887M7Mar 30, 2012
      Aaardvark IV Funding Limitedno longer reportedSecuritized Asset Fund$284M4Mar 30, 2012
      Aaardvark Xs Funding Limitedno longer reportedSecuritized Asset Fund$220M2Mar 30, 2012
      Aardvark Abs Cdo 2007-1no longer reportedHedge Fund$130M0Mar 30, 2012
      Aaardvark II Funding Limitedno longer reportedHedge Fund$77.2M2Mar 30, 2012
      Harbourview Cdo III, Ltd.no longer reportedSecuritized Asset Fund$22.9M0Mar 30, 2012
      Harbourview Clo 2006-1no longer reportedSecuritized Asset Fund$00Mar 30, 2012
      Diversified Credit Opporunity Fund (Cayman) 2003-1, LPno longer reportedSecuritized Asset Fund$013Mar 30, 2012
      Diversified Credit Opportunity Fund 2003-1, LLCno longer reportedSecuritized Asset Fund$035Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • Allison Laura Dukes · Director, Chief Executive Officer, And Presidentcontrol
        since 10/2020 · owns less than 5%
      • Howard Jeffrey Kupor · Secretary And Vice Presidentcontrol
        since 10/2020 · owns less than 5%
      • Janecka Annette Lege · Director, Chief Financial Officer, And Treasurercontrol
        since 10/2020 · owns less than 5%
      • Evan Joshua Levit · Chief Compliance Officercontrol
        since 02/2021 · owns less than 5%
      Entity owners
      • Ofi Global Institutional, Inc. · Sole Shareholder
        direct · owns 75% or more
      • Invesco Advisers, Inc. · Sole Shareholder
        indirect · owns 75% or more of Ofi Global Institutional, Inc.
      • Invesco Group Services, Inc. · Sole Shareholder
        indirect · owns 75% or more of Invesco Advisers, Inc.
      • Invesco Holding Company (US), Inc. · Sole Shareholder
        indirect · owns 75% or more of Oppenheimer Acquisition Corp. (Gatc)
      • Invesco Holding Company Limited · Sole Shareholder
        indirect · owns 75% or more of Invesco Holding Company (US), Inc.
      • Invesco Ltd. · Sole Shareholder
        indirect · owns 75% or more of Invesco Holding Company Limited
      • Oppenheimer Acquisition Corp. (Gatc) · Sole Shareholder
        indirect · owns 75% or more of Oppenheimerfunds,Inc.
      • Oppenheimerfunds,Inc. · Sole Shareholder
        indirect · owns 75% or more of Invesco Group Services, Inc.
      Related persons
      Schedule D 7.A
      Advisers that list Harbourview Asset Management Corporation as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Centennial, CO7 employees
      • Downers Grove, IL7 employees
      • London, United Kingdom6 employees
      What changed
      consecutive filings, newest first
      • Other offices · 1 to 3
        Dec 19, 2019 to Mar 23, 2020
      • Discretionary RAUM · $398M to $386M
        Dec 19, 2019 to Mar 23, 2020
      • Pooled vehicle RAUM · $398M to $386M
        Dec 19, 2019 to Mar 23, 2020
      • RAUM · $398M to $386M
        Dec 19, 2019 to Mar 23, 2020
      • Advisory employees · 14 to 0
        Mar 29, 2019 to Jun 24, 2019
      • BD registered reps · 3 to 0
        Mar 29, 2019 to Jun 24, 2019
      • Employees · 22 to 0
        Mar 29, 2019 to Jun 24, 2019
      • Discretionary RAUM · $392M to $398M
        Mar 29, 2019 to Jun 24, 2019
      • Pooled vehicle RAUM · $392M to $398M
        Mar 29, 2019 to Jun 24, 2019
      • RAUM · $392M to $398M
        Mar 29, 2019 to Jun 24, 2019
      • Discretionary RAUM · $373M to $392M
        Mar 29, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $373M to $392M
        Mar 29, 2018 to Mar 29, 2019
      • RAUM · $373M to $392M
        Mar 29, 2018 to Mar 29, 2019
      • Accounts · 3 to 1
        Aug 9, 2017 to Mar 29, 2018
      • Advisory employees · 16 to 14
        Aug 9, 2017 to Mar 29, 2018
      • BD registered reps · 2 to 3
        Aug 9, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 1.0
        Aug 9, 2017 to Mar 29, 2018
      • Employees · 24 to 22
        Aug 9, 2017 to Mar 29, 2018
      • Other offices · unset to 1.0
        Aug 9, 2017 to Mar 29, 2018
      • Private funds · 3 to 1
        Aug 9, 2017 to Mar 29, 2018
      • Discretionary RAUM · $401M to $373M
        Aug 9, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 372800000.0
        Aug 9, 2017 to Mar 29, 2018
      • RAUM · $401M to $373M
        Aug 9, 2017 to Mar 29, 2018
      • Advisory employees · 17 to 16
        Mar 30, 2016 to Mar 31, 2017
      • Employees · 25 to 24
        Mar 30, 2016 to Mar 31, 2017
      • Discretionary RAUM · $567M to $401M
        Mar 30, 2016 to Mar 31, 2017
      • RAUM · $567M to $401M
        Mar 30, 2016 to Mar 31, 2017
      • Advisory employees · 16 to 17
        Mar 31, 2015 to Mar 30, 2016
      • Discretionary RAUM · $698M to $567M
        Mar 31, 2015 to Mar 30, 2016
      • RAUM · $698M to $567M
        Mar 31, 2015 to Mar 30, 2016
      • Accounts · 4 to 3
        Mar 31, 2014 to Mar 31, 2015
      • Advisory employees · 11 to 16
        Mar 31, 2014 to Mar 31, 2015
      • BD registered reps · 3 to 2
        Mar 31, 2014 to Mar 31, 2015
      • Assets in custody · 1170500000.0 to unset
        Mar 31, 2014 to Mar 31, 2015
      • Custody of client assets · true to false
        Mar 31, 2014 to Mar 31, 2015
      • Employees · 18 to 25
        Mar 31, 2014 to Mar 31, 2015
      • Private funds · 4 to 3
        Mar 31, 2014 to Mar 31, 2015
      • Discretionary RAUM · $1.6B to $698M
        Mar 31, 2014 to Mar 31, 2015
      • RAUM · $1.6B to $698M
        Mar 31, 2014 to Mar 31, 2015
      • Accounts · 7 to 4
        Mar 28, 2013 to Mar 31, 2014
      Signals
      17 dated events
      • Mary Tara Mcaleer (Chief Compliance Officer) no longer on Schedule A of Harbourview Asset Management Corporation (listed 2020-11-10, absent 2021-02-04)
        Feb 4, 2021 · Control person left · inference
      • Evan Joshua Levit (Chief Compliance Officer) appeared on Schedule A of Harbourview Asset Management Corporation
        Feb 4, 2021 · Control person joined · fact
      • Harris Robert Rigsby (Director, Secretary And Vice President) no longer on Schedule A of Harbourview Asset Management Corporation (listed 2020-03-23, absent 2020-11-10)
        Nov 10, 2020 · Control person left · inference
      • Michael Loren Starr (Director, Chief Executive Officer & President) no longer on Schedule A of Harbourview Asset Management Corporation (listed 2020-03-23, absent 2020-11-10)
        Nov 10, 2020 · Control person left · inference
      • Allison Laura Dukes (Director, Chief Executive Officer, And President) appeared on Schedule A of Harbourview Asset Management Corporation
        Nov 10, 2020 · Control person joined · fact
      • Howard Jeffrey Kupor (Secretary And Vice President) appeared on Schedule A of Harbourview Asset Management Corporation
        Nov 10, 2020 · Control person joined · fact
      • Janecka Annette Lege (Director, Chief Financial Officer, And Treasurer) appeared on Schedule A of Harbourview Asset Management Corporation
        Nov 10, 2020 · Control person joined · fact
      • Kristie Feinberg (Chief Financial Officer And Treasurer) no longer on Schedule A of Harbourview Asset Management Corporation (listed 2020-03-23, absent 2020-11-10)
        Nov 10, 2020 · Control person left · inference
      • Kristie Feinberg (Chief Financial Officer And Treasurer) appeared on Schedule A of Harbourview Asset Management Corporation
        Mar 23, 2020 · Control person joined · fact
      • Mary Tara Mcaleer (Chief Compliance Officer) appeared on Schedule A of Harbourview Asset Management Corporation
        Dec 19, 2019 · Control person joined · fact
      • Ann Mary Picciotto (Chief Compliance Officer) no longer on Schedule A of Harbourview Asset Management Corporation (listed 2019-06-24, absent 2019-12-19)
        Dec 19, 2019 · Control person left · inference
      • Cynthia Lo Bessette (Chief Legal Officer) no longer on Schedule A of Harbourview Asset Management Corporation (listed 2019-03-29, absent 2019-06-24)
        Jun 24, 2019 · Control person left · inference
      • Philip Arthur Steinmetz (Director) no longer on Schedule A of Harbourview Asset Management Corporation (listed 2019-03-29, absent 2019-06-24)
        Jun 24, 2019 · Control person left · inference
      • Matthew David Pfeffer (President, Director & Chief Financial Officer) no longer on Schedule A of Harbourview Asset Management Corporation (listed 2019-03-29, absent 2019-06-24)
        Jun 24, 2019 · Control person left · inference
      • Marie Kristie Feinberg (Treasurer) no longer on Schedule A of Harbourview Asset Management Corporation (listed 2019-03-29, absent 2019-06-24)
        Jun 24, 2019 · Control person left · inference
      • Harris Robert Rigsby (Director, Secretary And Vice President) appeared on Schedule A of Harbourview Asset Management Corporation
        Jun 24, 2019 · Control person joined · fact
      • Michael Loren Starr (Director, Chief Executive Officer & President) appeared on Schedule A of Harbourview Asset Management Corporation
        Jun 24, 2019 · Control person joined · fact
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      Provenance
      Form ADV
      SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
      Advisors
      IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
      Class
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026