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
Harpswell Capital Advisors, LLC
Latest filing May 28, 2026
First filing on the tape Oct 16, 2013 · 23 filings
SEC status approved since Jul 17, 2017
RAUM
$587M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
4.5%
$26.4M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$587M as of May 28, 2026
Mar 28, 2018$139M then
HNW client RAUM$20.6M as of May 28, 2026
Mar 28, 2018$10.4M then
State-registered IARs (5.B.3)2 as of May 28, 2026
Mar 28, 20182 then
Employees (5.A)5 as of May 28, 2026
Mar 28, 20185 then
Private funds: no history
RAUM +18% over the last fiscal year+14% a year over threeIARs 2 to 2
Practice profile
derived from the filing of May 28, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- OCIO / institutional advisory · selection of other advisers (5.G.7) and institutional share at least 50 percent
- RAUM per advisor
- $294MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 17derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $7.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 95%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +36%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, publications, educational seminarsreportedItem 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)
- 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
- Charitable organizations$308M52%
- State and municipal entities$251M43%
- High-net-worth individuals$20.6M3.5%
- Individuals$5.8M1.0%
- Corporations and businesses$1.4M0.2%
- Banks and thrifts$415,9270.1%
- Individual clients
- 28reported
- HNW clients
- 6reported
- Pension plan clients
- 0reported
- Charitable clients
- 35reported
- Accounts
- 79reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.04 fund_share=0.0 institutional_share=0.95 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Michelle Vanessa Bryant · Vice Presidentcontrolsince 08/2020 · owns 5% to 10%
- Patrick John Moore · Managing Member/President/Ccocontrolsince 07/2013 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 64 to 79Mar 24, 2025 to Mar 31, 2026
- Corporate clients · 11 to 2Mar 24, 2025 to Mar 31, 2026
- HNW clients · 10 to 6Mar 24, 2025 to Mar 31, 2026
- Individual clients · 15 to 28Mar 24, 2025 to Mar 31, 2026
- Employees · 6 to 5Mar 24, 2025 to Mar 31, 2026
- Discretionary RAUM · $497M to $587MMar 24, 2025 to Mar 31, 2026
- HNW RAUM · $21.3M to $20.6MMar 24, 2025 to Mar 31, 2026
- Individual RAUM · $3.3M to $5.8MMar 24, 2025 to Mar 31, 2026
- RAUM · $497M to $587MMar 24, 2025 to Mar 31, 2026
- Accounts · 56 to 64Mar 19, 2024 to Mar 24, 2025
- Charity clients · 29 to 35Mar 19, 2024 to Mar 24, 2025
- Corporate clients · 0 to 11Mar 19, 2024 to Mar 24, 2025
- HNW clients · 6 to 10Mar 19, 2024 to Mar 24, 2025
- Employees · 7 to 6Mar 19, 2024 to Mar 24, 2025
- Financial planning clients · 1-10 to 1-10Mar 19, 2024 to Mar 24, 2025
- HQ city · NEW GLOUCESTER to YARMOUTHMar 19, 2024 to Mar 24, 2025
- Discretionary RAUM · $446M to $497MMar 19, 2024 to Mar 24, 2025
- HNW RAUM · $21.8M to $21.3MMar 19, 2024 to Mar 24, 2025
- Individual RAUM · $3.9M to $3.3MMar 19, 2024 to Mar 24, 2025
- RAUM · $446M to $497MMar 19, 2024 to Mar 24, 2025
- Accounts · 131 to 56Mar 28, 2023 to Mar 19, 2024
- Charity clients · 25 to 29Mar 28, 2023 to Mar 19, 2024
- HNW clients · 9 to 6Mar 28, 2023 to Mar 19, 2024
- Individual clients · 12 to 15Mar 28, 2023 to Mar 19, 2024
- Employees · 6 to 7Mar 28, 2023 to Mar 19, 2024
- Discretionary RAUM · $401M to $446MMar 28, 2023 to Mar 19, 2024
- HNW RAUM · $27.9M to $21.8MMar 28, 2023 to Mar 19, 2024
- Individual RAUM · $3.2M to $3.9MMar 28, 2023 to Mar 19, 2024
- RAUM · $401M to $446MMar 28, 2023 to Mar 19, 2024
- Accounts · 116 to 131Mar 16, 2022 to Mar 28, 2023
- Charity clients · 22 to 25Mar 16, 2022 to Mar 28, 2023
- Corporate clients · unset to 0.0Mar 16, 2022 to Mar 28, 2023
- Pension plan clients · unset to 0.0Mar 16, 2022 to Mar 28, 2023
- Discretionary RAUM · $472M to $401MMar 16, 2022 to Mar 28, 2023
- HNW RAUM · $38.8M to $27.9MMar 16, 2022 to Mar 28, 2023
- Individual RAUM · $2.8M to $3.2MMar 16, 2022 to Mar 28, 2023
- RAUM · $472M to $401MMar 16, 2022 to Mar 28, 2023
- Accounts · 87 to 116Mar 25, 2021 to Mar 16, 2022
- Charity clients · 14 to 22Mar 25, 2021 to Mar 16, 2022
- HNW clients · 8 to 9Mar 25, 2021 to Mar 16, 2022
Signals
3 dated events
- Harpswell Capital Advisors, Llc reported RAUM $471.9M, up 96% from $240.9M (2021-03-25 to 2022-03-16)Mar 16, 2022 · RAUM change · derived
- Michelle Vanessa Bryant (Vice President) appeared on Schedule A of Harpswell Capital Advisors, LlcMar 16, 2022 · Control person joined · fact
- Harpswell Capital Advisors, Llc filed its initial SEC registration (Form ADV)Oct 16, 2013 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/harpswell-capital-advisorsreportedpublic record, Form ADV, Sep 17, 2026
- Website
- investmentcommittee.orgreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 207-926-1380reportedpublic record, Form ADV, May 28, 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
- Institutional managerderiveda 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