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.
SEC-registered adviser
Harbert Fund Advisors, LLC
Latest filing Mar 31, 2026
First filing on the tape Mar 20, 2012 · 29 filings
SEC status approved since Oct 27, 1998
RAUM
$7.8B
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
147
62 advisory (5.B.1)
Offices
9
beyond the principal office
Private funds
44
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$7.8B as of Mar 31, 2026
Mar 20, 2012$2.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 20, 20135 then
Employees (5.A)147 as of Mar 31, 2026
Mar 20, 2013119 then
Private funds44 as of Mar 31, 2026
Mar 20, 201224 then
RAUM -2.7% over the last fiscal year-1.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; 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
- $178MderivedRAUM 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
- unknownderived10 offices incl. principal (1.F.5)
- RAUM growth, one year
- -2.7%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-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, otherreportedItem 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
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$7.8B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 44reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
- James Conrad Morrison to Crow Holdings CapitalMay 3, 2011 · Other
Joined, latest
- James Conrad Morrison from Amsouth Asset Management, Inc.Dec 15, 2006 · Other
Private funds
82 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Gulf Pacific Power, LLC | Private Equity Fund | $1.9B | 14 | Mar 25, 2014 |
| Harbert European Real Estate Fund V, L.P. | Real Estate Fund | $634M | 107 | Mar 29, 2018 |
| Gotham Power Investors, LLCno longer reported | Private Equity Fund | $621M | 3 | Mar 31, 2021 |
| Harbert United States Real Estate Fund Vii, L.P. | Real Estate Fund | $424M | 175 | Mar 26, 2020 |
| Harbert Seniors Housing Fund II, LLCno longer reported | Real Estate Fund | $349M | 254 | Mar 26, 2020 |
| Harbert Infrastructure Vi, LP | Private Equity Fund | $276M | 28 | Mar 31, 2021 |
| Harbert European Growth Capital Fund II, Scspno longer reported | Private Equity Fund | $241M | 37 | Mar 29, 2018 |
| Harbert Credit Solutions Fund IV, L.P. | Private Equity Fund | $222M | 229 | Mar 29, 2018 |
| Harbert Seniors Housing Fund II, LP | Real Estate Fund | $218M | 306 | Mar 28, 2019 |
| Heref V Merlin Co-Investor, LP | Real Estate Fund | $218M | 4 | Mar 28, 2022 |
| Harbert United States Real Estate Fund Vi, LP | Real Estate Fund | $196M | 152 | Mar 29, 2017 |
| Harbert Generate Co-Investment Fund, L.P. | Private Equity Fund | $185M | 6 | Mar 28, 2022 |
| Here Co-Investment Fund I, LPno longer reported | Real Estate Fund | $172M | 2 | Mar 18, 2013 |
| Harbert Parkside Co-Investor, LP | Real Estate Fund | $118M | 28 | Mar 28, 2022 |
| Harbert Growth Partners IV, LP | Venture Capital Fund | $117M | 53 | Mar 30, 2016 |
| Harbert Power Fund V, LLC | Private Equity Fund | $104M | 61 | Mar 18, 2013 |
| Harbert Seniors Housing Fund I, LP | Real Estate Fund | $101M | 200 | Mar 30, 2016 |
| Harbert Power Fund IV, LLCno longer reported | Other Private Fund | $99.7M | 24 | Mar 20, 2012 |
| Harbert Event Opportunities Master Fund, Ltd.no longer reported | Hedge Fund | $83.6M | 26 | Mar 20, 2012 |
| Harbert Value Master Fund, Ltd.no longer reported | Hedge Fund | $82.8M | 24 | Mar 20, 2012 |
| Harbert Independent Power Fund II, LLCno longer reported | Other Private Fund | $80.1M | 18 | Mar 20, 2012 |
| Tdg Opportunities I, LP | Hedge Fund | $69.5M | 26 | Mar 28, 2022 |
| Harbert Growth Partners V, LP | Venture Capital Fund | $64.5M | 74 | Mar 28, 2022 |
| Husref Vii Rtc Co-Investor, LP | Real Estate Fund | $62.7M | 6 | Mar 31, 2021 |
| Harbert European Growth Capital Fund I, LPno longer reported | Private Equity Fund | $60.4M | 45 | Mar 25, 2014 |
| Harbert Credit Solutions Fund V, LP | Private Equity Fund | $54.6M | 59 | Mar 30, 2023 |
| Harbert Mezzanine Partners III , LP | Private Equity Fund | $53.6M | 76 | Mar 20, 2012 |
| Harbert United States Real Estate Fund Viii, LP | Real Estate Fund | $53.3M | 129 | Mar 29, 2024 |
| Harbert Pioneer Fund, LP | Hedge Fund | $50.9M | 17 | Mar 30, 2023 |
| Husref Vii Parallel Fund | Real Estate Fund | $50.5M | 1 | Mar 30, 2023 |
| Harbert Credit Opportunities Master Fund, Ltd.no longer reported | Hedge Fund | $48.1M | 13 | Mar 20, 2012 |
| Nm Harbert Astoria, LLCno longer reported | Private Equity Fund | $48.1M | 3 | Mar 28, 2019 |
| Harbert 6beacon Fund LP | Hedge Fund | $44.0M | 5 | Mar 29, 2024 |
| Harbert European Real Estate - Ls Co-Investment Fund I, LPno longer reported | Real Estate Fund | $41.5M | 3 | Mar 18, 2013 |
| Heref III Oxip I, LPno longer reported | Real Estate Fund | $40.9M | 2 | Mar 18, 2013 |
| Harbert Discovery Fund, LP | Hedge Fund | $39.9M | 25 | Mar 30, 2016 |
| Harbert European Real Estate Fund Vi, L.P. | Real Estate Fund | $39.5M | 41 | Mar 30, 2023 |
| The Donerail Fund, LP | Hedge Fund | $35.6M | 29 | Mar 28, 2022 |
| Harbert Stoneview Co-Investment I, LP | Hedge Fund | $34.4M | 55 | Mar 28, 2022 |
| Hsh II Parallel Fund | Real Estate Fund | $32.5M | 9 | Mar 30, 2023 |
Owners and control persons
Schedule A and B, latest filing
- Frederick John Bryant · Executive Vice President & Senior Managing Director, Absolute Return Strategiescontrolsince 12/2018 · owns 50% to 75%
- Jones Raymond Harbert · Chairman, Ceo & Directorcontrolsince 11/1993 · owns less than 5%
- Jones Raymond Harbert · Executive Vice President & Chief Financial Officercontrolsince 01/2021 · owns less than 5%
- Travis Jason Pritchett · President & Chief Operating Officercontrolsince 01/2021 · owns 5% to 10%
- Walton Lee Purcell · Global Head Of Capital Marketscontrolsince 03/2022 · owns less than 5%
- Frederick John Bryant · Shareholdercontrolsince 01/2021 · owns 50% to 75% of Harbert Management Corporation
- Kathryn Mary Bryant · Shareholdercontrolsince 06/2018 · owns 50% to 75% of Harbert Management Corporation
- Murdoch John Harbert · Shareholdercontrolsince 06/2018 · owns 50% to 75% of Harbert Management Corporation
- Jones Raymond Harbert · Shareholdercontrolsince 06/2018 · owns 50% to 75% of Harbert Management Corporation
- Jones Raymond Harbert · Shareholdercontrolsince 11/1993 · owns 50% to 75% of Harbert Management Corporation
- Conrad Michael Bauder · Vice President & Chief Compliance Officersince 07/2006 · owns less than 5%
- Watkins John Mccullough · Executive Vice President, General Counsel & Secretarysince 03/2009 · owns less than 5%
Entity owners
- Harbinger Corporation · Shareholderdirect · owns 75% or more
- Harbert Management Corporation · Shareholderindirect · owns 75% or more of Harbinger Corporation
Related persons
Schedule D 7.A
- Harbert Discovery Co-Investment Fund I Gp, LLCpooled vehicle sponsory
- Harbert Discovery Fund Gp, LLCpooled vehicle sponsory
- Harbert European Fund Advisors, Ltd.investment advisery
- Harbert Stoneview Fund Gp, LLCpooled vehicle sponsory
- Harbert Stoneview Opportunity Fund I Gp, LLCpooled vehicle sponsory
- Hmc Investments, LLCbroker-dealern
Advisers that list Harbert Fund Advisors, LLC as a related person
- 110440 y
Offices
Schedule D 1.F, the 25 largest
- Nashville, TN8 employees
- Dallas, TX7 employees
- Dallas, TX7 employees
- New York, NY5 employees
- San Francisco, CA5 employees
- Richmond, VA4 employees
- Atlanta, GA3 employees
- Santa Monica, CA3 employees
- Charlotte, NC3 employees
What changed
consecutive filings, newest first
- Accounts · 53 to 44Dec 9, 2025 to Mar 31, 2026
- Pooled vehicle clients · 48 to 44Dec 9, 2025 to Mar 31, 2026
- Organization form · Corporation to Limited Liability CompanyDec 9, 2025 to Mar 31, 2026
- Private funds · 49 to 44Dec 9, 2025 to Mar 31, 2026
- Discretionary RAUM · $8.0B to $7.8BDec 9, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $7.8B to $7.8BDec 9, 2025 to Mar 31, 2026
- RAUM · $8.0B to $7.8BDec 9, 2025 to Mar 31, 2026
- Succession · false to trueDec 9, 2025 to Mar 31, 2026
- Business name · HARBERT FUND ADVISORS, INC. to HARBERT FUND ADVISORS, LLCMar 31, 2025 to Dec 9, 2025
- Legal name · HARBERT FUND ADVISORS, INC. to HARBERT FUND ADVISORS, LLCMar 31, 2025 to Dec 9, 2025
- Accounts · 50 to 53Mar 29, 2024 to Mar 31, 2025
- Advisory employees · 73 to 62Mar 29, 2024 to Mar 31, 2025
- BD registered reps · 28 to 0Mar 29, 2024 to Mar 31, 2025
- Pooled vehicle clients · 38 to 48Mar 29, 2024 to Mar 31, 2025
- Employees · 167 to 147Mar 29, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 0Mar 29, 2024 to Mar 31, 2025
- State-registered IARs · 7 to 0Mar 29, 2024 to Mar 31, 2025
- Private funds · 39 to 49Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $8.1B to $8.0BMar 29, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $6.7B to $7.8BMar 29, 2024 to Mar 31, 2025
- RAUM · $8.1B to $8.0BMar 29, 2024 to Mar 31, 2025
- Related broker-dealer · true to falseMar 29, 2024 to Mar 31, 2025
- Accounts · 57 to 50Apr 3, 2023 to Mar 29, 2024
- Advisory employees · 71 to 73Apr 3, 2023 to Mar 29, 2024
- BD registered reps · 36 to 28Apr 3, 2023 to Mar 29, 2024
- Pooled vehicle clients · 41 to 38Apr 3, 2023 to Mar 29, 2024
- Assets in custody · 5882598976.0 to unsetApr 3, 2023 to Mar 29, 2024
- Custody of client assets · true to falseApr 3, 2023 to Mar 29, 2024
- Employees · 165 to 167Apr 3, 2023 to Mar 29, 2024
- State-registered IARs · 5 to 7Apr 3, 2023 to Mar 29, 2024
- Discretionary RAUM · $8.1B to $8.1BApr 3, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $7.2B to $6.7BApr 3, 2023 to Mar 29, 2024
- RAUM · $8.1B to $8.1BApr 3, 2023 to Mar 29, 2024
- Accounts · 48 to 57Mar 28, 2022 to Mar 30, 2023
- Advisory employees · 77 to 71Mar 28, 2022 to Mar 30, 2023
- BD registered reps · 27 to 36Mar 28, 2022 to Mar 30, 2023
- Employees · 162 to 165Mar 28, 2022 to Mar 30, 2023
- State-registered IARs · 1 to 5Mar 28, 2022 to Mar 30, 2023
- Other offices · 7 to 9Mar 28, 2022 to Mar 30, 2023
- Private funds · 35 to 39Mar 28, 2022 to Mar 30, 2023
Signals
9 dated events
- Harbert Fund Advisors, Llc reported succeeding to the business of Harbert Fund Advisors, Llc (Form ADV Item 4)Mar 31, 2026 · Succession (Item 4) · fact
- Donald Charles Miller (Executive Vice President & Head Of Global Distribution) no longer on Schedule A of Harbert Fund Advisors, Llc (listed 2022-03-28, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- Walton Lee Purcell (Global Head Of Capital Markets) appeared on Schedule A of Harbert Fund Advisors, LlcMar 30, 2023 · Control person joined · fact
- Travis Jason Pritchett (President & Chief Operating Officer) appeared on Schedule A of Harbert Fund Advisors, LlcMar 28, 2022 · Control person joined · fact
- Frederick John Bryant (Shareholder) appeared on Schedule A of Harbert Fund Advisors, LlcMar 31, 2021 · Control person joined · fact
- Jean Sonja Keeton (Executive Vice President & Chief Financial Officer) no longer on Schedule A of Harbert Fund Advisors, Llc (listed 2021-02-01, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- Kathryn Mary Bryant (Shareholder) appeared on Schedule A of Harbert Fund Advisors, LlcMar 28, 2019 · Control person joined · fact
- Murdoch John Harbert (Shareholder) appeared on Schedule A of Harbert Fund Advisors, LlcMar 28, 2019 · Control person joined · fact
- Harbert Fund Advisors, Llc reported RAUM $5.9B, up 32% from $4.5B (2017-04-10 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- Harbert Fund Advisors, LLC · Independent Sponsorsshared crd · capital_provider
- Harbert Fund Advisors, Inc. · Private Equityshared crd · organization
- Harbert Fund Advisors, Inc. · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/harbert-management-corporationreportedpublic record, Form ADV, Sep 17, 2026
- Website
- HARBERT.NETreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 205/987-5500reportedpublic record, Form ADV, Mar 31, 2026
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
- Asset manager (funds and pooled vehicles)deriveda 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
Across the graphs
Harbert Fund Advisors, LLC is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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