# Clear Harbor Asset Management, LLC

> Clear Harbor Asset Management, LLC is an SEC-registered investment advisory firm in Stamford, CT, registered since 2009, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated March 30, 2026.

- CRD: 152242
- Filed as: CLEAR HARBOR ASSET MANAGEMENT, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Stamford, CT
- Filing period: October 2026
- Form ADV filing dated: March 30, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/152242
- AdvisorCensus page: https://advisorcensus.com/firm/clear-harbor-asset-management-llc-stamford-ct-152242

## Quick answers

**How is Clear Harbor Asset Management, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Clear Harbor Asset Management, LLC reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees); performance-based fees.

**How much does Clear Harbor Asset Management, LLC charge?**
Its Form ADV Part 2A brochure dated March 30, 2026 states: Asset-based fee: 0.25% to 1.5% a year (a range, as the brochure states it). Fees can differ by service and may be negotiable; the brochure is the complete statement.

**Where is Clear Harbor Asset Management, LLC located?**
Clear Harbor Asset Management, LLC's principal office is in Stamford, CT, according to its Form ADV; the April 2026 filing also lists 1 other office (Schedule D, Section 1.F).

**Is Clear Harbor Asset Management, LLC registered with the SEC or a state?**
Clear Harbor Asset Management, LLC is an SEC-registered investment advisory firm, registered since 2009. Status as filed: Approved. CRD 152242.

**How much does Clear Harbor Asset Management, LLC manage?**
Clear Harbor Asset Management, LLC reports $2,054,393,403 in regulatory assets under management in its Form ADV filing dated March 30, 2026 (100% discretionary).

**How have Clear Harbor Asset Management, LLC's assets and staff changed since 2021?**
In the Form ADV data for Clear Harbor Asset Management, LLC: Regulatory assets under management: $920,530,544 in the October 2021 data and $2,054,393,403 in the October 2026 data, up 123%. Total employees: 18 in October 2021 and 24 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Clear Harbor Asset Management, LLC serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (451); individuals (other than high net worth individuals) (333); corporations or other businesses not listed above (18).

**Which custodians does Clear Harbor Asset Management, LLC use?**
Clear Harbor Asset Management, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and Pershing LLC as custodians holding 10% or more of its separately managed account assets.

**Does Clear Harbor Asset Management, LLC report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/152242

**What changed in Clear Harbor Asset Management, LLC's recent Form ADV filings?**
In the April 2026 filing data: Employees performing advisory functions went from 19 to 18. Regulatory assets under management went from $1,742,800,000 to $2,054,393,403 (+18%).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Performance-based fees

### Fees and minimums (Form ADV Part 2A brochure dated March 30, 2026)

- Asset-based fee: 0.25% to 1.5% a year (a range, as the brochure states it)

> The annual fee varies (between 0.25% and 1.5%) depending upon the market value of the assets under management and the type of investment management services to be rendered.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.
- Pershing LLC

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $2,054,393,403
- Discretionary: $2,045,006,114
- Non-discretionary: $9,387,289

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 333 | $136,064,393 |
| High net worth individuals | 451 | $1,725,184,362 |
| Pooled investment vehicles (other than investment companies and business development companies) | 2 | $35,569,129 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 7 | $31,531,250 |
| Charitable organizations | 9 | $49,807,088 |
| Corporations or other businesses not listed above | 18 | $76,237,181 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)

### Firm details
- Registered since: 2009 (16 years)
- Employees: 24 total, 18 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: AK, CA, CO, CT, FL, IL, LA, MA, MD, ME, NC, NH, NJ, NY, PA, RI, TN, TX, VA, WA
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Other offices (Schedule D, Section 1.F), as of the April 2026 filing
- Wilton, CT

### Websites listed on Form ADV (Item 1.I)
- clearharboram.com
- Facebook @CLEARHARBORASSETMANAGEMENT
- LinkedIn @CLEAR-HARBOR-ASSET-MANAGEMENT
- X @CLEARHARBORAM

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $920,530,544 | 18 | March 30, 2021 |
| October 2022 | $1,179,583,226 | 22 | August 30, 2022 |
| October 2023 | $1,042,984,079 | 20 | March 31, 2023 |
| October 2024 | $1,463,680,113 | 19 | March 28, 2024 |
| October 2025 | $1,742,800,000 | 26 | March 27, 2025 |
| October 2026 | $2,054,393,403 | 24 | March 30, 2026 |

Regulatory assets under management: $920,530,544 in the October 2021 data and $2,054,393,403 in the October 2026 data, up 123%.
Total employees: 18 in October 2021 and 24 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Employees performing advisory functions went from 19 to 18.
- Regulatory assets under management went from $1,742,800,000 to $2,054,393,403 (+18%).

### January 2026
- No longer registered or notice-filed in AZ.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Clear Harbor Asset Management, LLC (CRD 152242): Form ADV filing data as of October 2026.