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
Harbor Capital Advisors, Inc.
Latest filing Aug 5, 2026
First filing on the tape Mar 30, 2012 · 59 filings
SEC status approved since Jun 7, 2001
RAUM
$68B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$6.8B
derived; firm RAUM over IAPD count
Employees
240
25 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
1
reported on Schedule D
History
59 filings and snapshots on the tape
RAUM$68B as of Aug 5, 2026
Mar 30, 2012$58B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 5, 2026
Mar 30, 20120 then
Employees (5.A)240 as of Aug 5, 2026
Mar 28, 2013105 then
Private funds1 as of Aug 5, 2026
Mar 30, 20121 then
RAUM +4.4% over the last fiscal year+20% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 5, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- RAUM per advisor
- $6.8BderivedRAUM 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
- $4.5BderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 24.0derivedItem 5.A over advisors
- Advisors per office
- 3.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.4%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, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisers, 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)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$51B75%
- Pooled investment vehicles$17B25%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 15reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=121.0derived
Advisors registered through the firm
10 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Dale Jarrett KormanCertified Financial Planner | Chicago, Il | Sep 23, 2021 | 20 y | 3 |
| Jason Michael Alonzo | Saratoga Springs, Ny | Feb 8, 2023 | 26 y | 3 |
| Jacob B Delmauro | Tinley Park, Il | Jul 17, 2023 | 10 y | 3 |
| Timothy Michael Buick | Fairfax Station, Va | Jan 18, 2024 | 19 y | 5 |
| William Reed Wheeler | Chicago, Il | Feb 27, 2024 | 14 y | 1 |
| Simrin Kaur Dhillon | Chicago, Il | Aug 2, 2024 | 10 y | 2 |
| Phillip Simcox | Chicago, Il | Aug 13, 2024 | 11 y | 3 |
| Jason Lauderback | Naperville, Il | Aug 13, 2024 | 23 y | 2 |
| Patrick Sullivan | Chicago, Il | Jan 21, 2025 | 12 y | 2 |
| Dario Urbaez Moquete | Chicago, Il | May 16, 2025 | 10 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- Kurt Graham Gustafson to Hartford FundsMar 25, 2025 · Other
- Scott Alan Stanley to Eaton Vance ManagementSep 5, 2023 · Other
Joined, latest
- Patrick Sullivan from J.P. Morgan Securities LLCJan 21, 2025 · Other
- Jason Lauderback from Calamos Advisors LLCAug 13, 2024 · Other
- Phillip Simcox from CorientAug 13, 2024 · Other
- Simrin Kaur Dhillon from Thrivent Investment Management Inc.Aug 2, 2024 · Other
- William Reed Wheeler from UBS Financial Services Inc.Feb 27, 2024 · Other
- Timothy Michael Buick from Calamos Advisors LLCJan 18, 2024 · Other
- Jacob B Delmauro from First Trust Advisors LPJul 17, 2023 · Other
- Jason Michael Alonzo from Eagle Bay Family OfficeFeb 8, 2023 · Other
- Kurt Graham Gustafson from Calamos Advisors LLCJan 9, 2023 · Other
- Scott Alan Stanley from New York Life Investment Management LLCOct 28, 2022 · Other
- Dale Jarrett Korman from Sage Advisory Services Ltd CoSep 23, 2021 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Harbor Capital Group Trust For Defined Benefit Plans | Other Private Fund | $992M | 1 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- Otto Walter Breuninger · Senior Vice President & Chief Compliance Officercontrolsince 11/2024 · owns less than 5%
- Pierson James Erceg · Executive Vice Presidentcontrolsince 12/2019 · owns less than 5%
- Marius Kristof Gleich · Presidentcontrolsince 11/2018 · owns less than 5%
- Kiyoshi Habiro · Directorcontrolsince 01/2022 · owns less than 5%
- Steve John Halaby · Executive Vice Presidentcontrolsince 08/2019 · owns less than 5%
- Ann Lora Kmieciak · Executive Vice President, Chief Financial Officer And Treasurercontrolsince 10/2022 · owns less than 5%
- Frederick Charles Mccain · Chief Executive Officercontrolsince 09/2017 · owns less than 5%
- Diana Roman-Podgorny · Executive Vice President, General Counsel & Secretarycontrolsince 07/2023 · owns less than 5%
- M.A.A.C. (Mark) Talbot · Directorcontrolsince 04/2024 · owns less than 5%
- Gordon David Van Hooser · Chairman Of The Board Of Directors, Directorcontrolsince 04/2001 · owns less than 5%
- Martin Gregg Boland · Executive Vice Presidentsince 05/2020 · owns less than 5%
- Jerome Matthew Laboe · Executive Vice President And Chief Information Officersince 10/2008 · owns less than 5%
Entity owners
- Oce US Holding Inc. · Sole Shareholderdirect · owns 75% or more
- Oce US Holding B.V. (Fka Robeco US Holding B.V.) · Sole Shareholderindirect · owns 75% or more of Oce US Holding Inc.
- Orix Corporation · Sole Shareholderindirect · owns 75% or more of Orix Corporation Europe N.V. · public reporting company
- Orix Corporation Europe N.V. · Sole Shareholderindirect · owns 75% or more of Oce US Holding B.V. (Fka Robeco US Holding B.V.)
Related persons
Schedule D 7.A
- Boston Partnersinvestment adviserbanknRAUM $116B
- Canara Robeco Asset Management Company Ltd.investment advisern
- Gravis Capital Management Limitedinvestment advisern
- Harbor Funds Distributors, Inc.broker-dealery
- Harbor Trust Company, Inc.y
Advisers that list Harbor Capital Advisors, Inc. as a related person
- 124982 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Chicago, Il · principal | 10 | 0 | 0 | ||
| Norwell, Ma | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Boston, MA7 employees
- New York, NY6 employees
What changed
consecutive filings, newest first
- Accounts · 14 to 15Dec 11, 2025 to Mar 16, 2026
- Advisory employees · 27 to 25Dec 11, 2025 to Mar 16, 2026
- Corporate clients · 8 to 9Dec 11, 2025 to Mar 16, 2026
- Employees · 236 to 240Dec 11, 2025 to Mar 16, 2026
- Discretionary RAUM · $65B to $68BDec 11, 2025 to Mar 16, 2026
- Pooled vehicle RAUM · $15B to $17BDec 11, 2025 to Mar 16, 2026
- RAUM · $65B to $68BDec 11, 2025 to Mar 16, 2026
- Financial planning clients · unset to Mar 25, 2025 to Jul 15, 2025
- Accounts · 13 to 14Nov 1, 2024 to Mar 25, 2025
- Advisory employees · 25 to 27Nov 1, 2024 to Mar 25, 2025
- BD registered reps · 114 to 121Nov 1, 2024 to Mar 25, 2025
- Pooled vehicle clients · 2 to 3Nov 1, 2024 to Mar 25, 2025
- Employees · 224 to 236Nov 1, 2024 to Mar 25, 2025
- Discretionary RAUM · $51B to $65BNov 1, 2024 to Mar 25, 2025
- Pooled vehicle RAUM · $11B to $15BNov 1, 2024 to Mar 25, 2025
- RAUM · $51B to $65BNov 1, 2024 to Mar 25, 2025
- Accounts · 6 to 13Jul 17, 2023 to Mar 25, 2024
- Advisory employees · 24 to 25Jul 17, 2023 to Mar 25, 2024
- BD registered reps · 89 to 114Jul 17, 2023 to Mar 25, 2024
- Corporate clients · 2 to 8Jul 17, 2023 to Mar 25, 2024
- Employees · 207 to 224Jul 17, 2023 to Mar 25, 2024
- Other offices · 1 to 2Jul 17, 2023 to Mar 25, 2024
- Discretionary RAUM · $39B to $51BJul 17, 2023 to Mar 25, 2024
- Pooled vehicle RAUM · $6.4B to $11BJul 17, 2023 to Mar 25, 2024
- RAUM · $39B to $51BJul 17, 2023 to Mar 25, 2024
- Accounts · 5 to 6Feb 17, 2023 to Mar 28, 2023
- Advisory employees · 18 to 24Feb 17, 2023 to Mar 28, 2023
- BD registered reps · 88 to 89Feb 17, 2023 to Mar 28, 2023
- Corporate clients · 1 to 2Feb 17, 2023 to Mar 28, 2023
- Employees · 193 to 207Feb 17, 2023 to Mar 28, 2023
- Discretionary RAUM · $65B to $39BFeb 17, 2023 to Mar 28, 2023
- Pooled vehicle RAUM · $7.8B to $6.4BFeb 17, 2023 to Mar 28, 2023
- RAUM · $65B to $39BFeb 17, 2023 to Mar 28, 2023
- Accounts · 3 to 5Jan 24, 2022 to Mar 30, 2022
- Advisory employees · 16 to 18Jan 24, 2022 to Mar 30, 2022
- BD registered reps · 74 to 88Jan 24, 2022 to Mar 30, 2022
- Corporate clients · 0 to 1Jan 24, 2022 to Mar 30, 2022
- Employees · 165 to 193Jan 24, 2022 to Mar 30, 2022
- Other offices · 0 to 1Jan 24, 2022 to Mar 30, 2022
- Discretionary RAUM · $63B to $65BJan 24, 2022 to Mar 30, 2022
Signals
19 dated events
- Kurt Graham Gustafson left Harbor Capital Advisors, Inc. for Hartford Funds (registered 2025-08-06)Mar 25, 2025 · Advisor changed firm · fact
- Harbor Capital Advisors, Inc. reported RAUM $64.8B, up 28% from $50.5B (2024-11-01 to 2025-03-25)Mar 25, 2025 · RAUM change · derived
- Otto Walter Breuninger (Senior Vice President & Chief Compliance Officer) appeared on Schedule A of Harbor Capital Advisors, Inc.Nov 1, 2024 · Control person joined · fact
- Cyrus Richard Sarhaddi (Senior Vice President And Chief Compliance Officer) no longer on Schedule A of Harbor Capital Advisors, Inc. (listed 2024-06-05, absent 2024-06-20)Jun 20, 2024 · Control person left · inference
- Gilbert Van Hassel (Director) no longer on Schedule A of Harbor Capital Advisors, Inc. (listed 2024-03-25, absent 2024-04-26)Apr 26, 2024 · Control person left · inference
- M.A.A.C. (Mark) Talbot (Director) appeared on Schedule A of Harbor Capital Advisors, Inc.Apr 26, 2024 · Control person joined · fact
- Harbor Capital Advisors, Inc. reported RAUM $50.5B, up 30% from $38.8B (2023-07-17 to 2024-03-25)Mar 25, 2024 · RAUM change · derived
- Scott Alan Stanley left Harbor Capital Advisors, Inc. for Eaton Vance Management (registered 2023-12-01)Sep 5, 2023 · Advisor changed firm · fact
- Donald Erik Ojala (Executive Vice President, General Counsel & Secretary) no longer on Schedule A of Harbor Capital Advisors, Inc. (listed 2023-03-28, absent 2023-07-17)Jul 17, 2023 · Control person left · inference
- Diana Roman-Podgorny (Executive Vice President, General Counsel & Secretary) appeared on Schedule A of Harbor Capital Advisors, Inc.Jul 17, 2023 · Control person joined · fact
- Harbor Capital Advisors, Inc. reported RAUM $38.8B, down 40% from $65.0B (2023-02-17 to 2023-03-28)Mar 28, 2023 · RAUM change · derived
- Cyrus Richard Sarhaddi (Senior Vice President And Chief Compliance Officer) appeared on Schedule A of Harbor Capital Advisors, Inc.Feb 17, 2023 · Control person joined · fact
- Sue Anmarie Kolinski (Executive Vice President, Chief Financial Officer & Treasurer) no longer on Schedule A of Harbor Capital Advisors, Inc. (listed 2022-09-07, absent 2022-10-14)Oct 14, 2022 · Control person left · inference
- Lynn Jodie Crotteau (Chief Compliance Officer, Senior Vice President & Assistant Secretary) no longer on Schedule A of Harbor Capital Advisors, Inc. (listed 2022-03-30, absent 2022-09-07)Sep 7, 2022 · Control person left · inference
- Kiyoshi Habiro (Director) appeared on Schedule A of Harbor Capital Advisors, Inc.Jan 24, 2022 · Control person joined · fact
- Yoshiaki Matsuoka (Director) no longer on Schedule A of Harbor Capital Advisors, Inc. (listed 2021-05-20, absent 2022-01-24)Jan 24, 2022 · Control person left · inference
- Lynch Brian Collins (Chief Investment Officer And Executive Vice President) no longer on Schedule A of Harbor Capital Advisors, Inc. (listed 2020-07-08, absent 2020-12-11)Dec 11, 2020 · Control person left · inference
- Pierson James Erceg (Executive Vice President) appeared on Schedule A of Harbor Capital Advisors, Inc.Dec 23, 2019 · Control person joined · fact
- Steve John Halaby (Executive Vice President) appeared on Schedule A of Harbor Capital Advisors, Inc.Sep 3, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- Harbor Capital Advisors, Inc. · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/HARBOR-CAPITAL-ADVISORSreportedpublic record, Form ADV, Sep 17, 2026
- Website
- HARBORFUNDS.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (312) 443-4400reportedpublic record, Form ADV, Aug 5, 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
- $6.8Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026