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

Harbor Financial Services, LLC

Former SEC-registered adviserMobile, AlabamaCRD 25700SEC 801-65811IAPD
Latest filing Aug 2, 2021
First filing on the tape Nov 29, 2011 · 37 filings
RAUM
$621M
reported, Item 5.F
Discretionary
52%
of RAUM
Private clients
97%
$604M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
106
55 advisory (5.B.1)
Offices
36
beyond the principal office
Private funds
0
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$621M as of Mar 30, 2021
Mar 28, 2012$157M then
HNW client RAUM$294M as of Mar 30, 2021
Mar 26, 2018$46.3M then
State-registered IARs (5.B.3)50 as of Mar 30, 2021
Mar 28, 20120 then
Employees (5.A)106 as of Mar 30, 2021
Apr 1, 201355 then
Private funds: no history
RAUM +24% over the last fiscal year+20% a year over threeIARs 45 to 50
Practice profile
derived from the filing of Aug 2, 2021; every figure names its basis
RAUM per advisor
$12.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
32derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.4MderivedHNW RAUM over HNW clients
Average account
$255,088derivedRAUM over accounts (5.F.2.f)
Discretionary
52%derivedof RAUM
Institutional
1.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.1derivedItem 5.A over advisors
Advisors per office
1.4derived37 offices incl. principal (1.F.5)
RAUM growth, one year
+24%derivedbetween the last two annual amendments
Advisor growth, one year
+11%derivedItem 5.B.3 between annual amendments
Client growth, one year
-23%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, educational seminarsreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
Custody
$3.2M, 8 clientsreportedItem 9.A
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
  • is a broker-dealer (6.A.1)
  • is an insurance broker or agent (6.A.6)
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$310M50%
  • High-net-worth individuals$294M47%
  • Corporations and businesses$10.4M1.7%
  • Pension and profit-sharing plans$4.1M0.7%
  • Charitable organizations$2.2M0.4%
Individual clients
1,394reported
HNW clients
203reported
Pension plan clients
7reported
Charitable clients
4reported
Accounts
2,434reported
Financial planning clients
1-10reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
$3.2M for 8 clientsreported
Compensation
% of AUM, fixed, hourlyreported
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Marc Scott Whitehead · President And Ceocontrol
      since 05/2006 · owns less than 5%
    • Thomas John Hopkins · Finop
      since 07/2018 · owns less than 5%
    • Stacey Lynn Lavender-Mayes · Cco - Broker Dealer
      since 12/2020 · owns less than 5%
    • Jill Marie Zacha · Cco - Advisory
      since 12/2020 · owns less than 5%
    Entity owners
    • Carr, Riggs & Ingram Capital, LLC · Member
      indirect · owns 75% or more of Level Four Group, LLC
    • Carr, Riggs & Ingram, LLC · Member
      indirect · owns 75% or more of Carr, Riggs & Ingram Capital, LLC
    • Level Four Group, LLC · Member
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    Advisers that list Harbor Financial Services, LLC as a related person
    Offices
    Schedule D 1.F, the 25 largest
    • Gadsden, AL4 employees
    • Bradenton, FL3 employees
    • , 2 employees
    • St Cloud, FL1 employees
    • Cypress, TX1 employees
    • , 1 employees
    • Stuart, FL1 employees
    • Grosse Point, MI1 employees
    • Evanston, IL1 employees
    • Sioux Falls, SD1 employees
    • Lynchburg, VA1 employees
    • Clermont, FL1 employees
    • Forest Park, IL1 employees
    • , 1 employees
    • Sarasota, FL1 employees
    • Lindsay, OK1 employees
    • Sapulpa, OK1 employees
    • Covington, LA1 employees
    • Allen, TX1 employees
    • Burbank, CA1 employees
    • Birmingham, AL1 employees
    • Raleigh, NC1 employees
    • Eugene, OR1 employees
    • Panama City, FL1 employees
    • Vero Beach, FL1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 2,264 to 2,434
      Jan 7, 2021 to Mar 30, 2021
    • Advisory employees · 50 to 55
      Jan 7, 2021 to Mar 30, 2021
    • BD registered reps · 67 to 96
      Jan 7, 2021 to Mar 30, 2021
    • Charity clients · 6 to 4
      Jan 7, 2021 to Mar 30, 2021
    • Corporate clients · 12 to 7
      Jan 7, 2021 to Mar 30, 2021
    • HNW clients · 216 to 203
      Jan 7, 2021 to Mar 30, 2021
    • Individual clients · 2,027 to 1,394
      Jan 7, 2021 to Mar 30, 2021
    • Pension plan clients · unset to 7.0
      Jan 7, 2021 to Mar 30, 2021
    • Assets in custody · $2.3M to $3.2M
      Jan 7, 2021 to Mar 30, 2021
    • Employees · 72 to 106
      Jan 7, 2021 to Mar 30, 2021
    • Insurance-licensed employees · 18 to 28
      Jan 7, 2021 to Mar 30, 2021
    • Discretionary RAUM · $249M to $325M
      Jan 7, 2021 to Mar 30, 2021
    • HNW RAUM · $133M to $294M
      Jan 7, 2021 to Mar 30, 2021
    • Individual RAUM · $399M to $310M
      Jan 7, 2021 to Mar 30, 2021
    • Non-discretionary RAUM · $321M to $296M
      Jan 7, 2021 to Mar 30, 2021
    • Pension RAUM · $1.3M to $4.1M
      Jan 7, 2021 to Mar 30, 2021
    • RAUM · $570M to $621M
      Jan 7, 2021 to Mar 30, 2021
    • Accounts · 2,080 to 2,264
      Oct 30, 2020 to Nov 2, 2020
    • Charity clients · 5 to 6
      Oct 30, 2020 to Nov 2, 2020
    • Corporate clients · 10 to 12
      Oct 30, 2020 to Nov 2, 2020
    • HNW clients · 65 to 216
      Oct 30, 2020 to Nov 2, 2020
    • Individual clients · 1,996 to 2,027
      Oct 30, 2020 to Nov 2, 2020
    • Discretionary RAUM · $199M to $249M
      Oct 30, 2020 to Nov 2, 2020
    • HNW RAUM · $76.7M to $133M
      Oct 30, 2020 to Nov 2, 2020
    • Individual RAUM · $390M to $399M
      Oct 30, 2020 to Nov 2, 2020
    • Non-discretionary RAUM · $302M to $321M
      Oct 30, 2020 to Nov 2, 2020
    • Pension RAUM · $1.5M to $1.3M
      Oct 30, 2020 to Nov 2, 2020
    • RAUM · $501M to $570M
      Oct 30, 2020 to Nov 2, 2020
    • Advisory employees · 45 to 50
      Sep 29, 2020 to Oct 30, 2020
    • Advisory activities · 4 to 5
      Sep 29, 2020 to Oct 30, 2020
    • BD registered reps · 61 to 67
      Sep 29, 2020 to Oct 30, 2020
    • Employees · 63 to 72
      Sep 29, 2020 to Oct 30, 2020
    • Insurance-licensed employees · 7 to 18
      Sep 29, 2020 to Oct 30, 2020
    • State-registered IARs · 45 to 50
      Sep 29, 2020 to Oct 30, 2020
    • Related adviser · false to true
      Sep 29, 2020 to Oct 30, 2020
    • Related broker-dealer · false to true
      Sep 29, 2020 to Oct 30, 2020
    • Related insurance company · false to true
      Sep 29, 2020 to Oct 30, 2020
    • Wrap assets (manager) · unset to 0.0
      Sep 29, 2020 to Oct 30, 2020
    • Wrap assets (sponsor) · unset to 0.0
      Sep 29, 2020 to Oct 30, 2020
    • Accounts · 1,536 to 2,080
      Mar 28, 2019 to Mar 30, 2020
    Signals
    7 dated events
    • Darrell Raiford Sr. Brown (Sole Shareholder Of Darai Corporation) no longer on Schedule A of Harbor Financial Services, Llc (listed 2021-01-07, absent 2021-03-30)
      Mar 30, 2021 · Control person left · inference
    • Paul Eugene Sr. Brown (Trustee For Paul E. Brown Management Trust (Brown Corp. Shareholder)) no longer on Schedule A of Harbor Financial Services, Llc (listed 2021-01-07, absent 2021-03-30)
      Mar 30, 2021 · Control person left · inference
    • Terresa Louise Beaman (Cco) no longer on Schedule A of Harbor Financial Services, Llc (listed 2021-01-07, absent 2021-03-30)
      Mar 30, 2021 · Control person left · inference
    • Harbor Financial Services, Llc reported RAUM $501.4M, up 38% from $363.2M (2019-03-28 to 2020-03-30)
      Mar 30, 2020 · RAUM change · derived
    • Harbor Financial Services, Llc reported 36 offices beyond its principal office, up from 26 (2019-03-28 to 2020-03-30)
      Mar 30, 2020 · Office count change · derived
    • Harbor Financial Services, Llc reported 26 offices beyond its principal office, down from 33 (2018-10-16 to 2019-03-28)
      Mar 28, 2019 · Office count change · derived
    • Harbor Financial Services, Llc reported 33 offices beyond its principal office, up from 5 (2017-11-16 to 2018-03-26)
      Mar 26, 2018 · Office count change · derived
    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