{
  "crd_number": 169978,
  "slug": "copper-harbor-investment-advisors-llc-appleton-wi-169978",
  "primary_business_name": "COPPER HARBOR INVESTMENT ADVISORS, LLC",
  "legal_name": "COPPER HARBOR INVESTMENT ADVISORS, LLC",
  "dbas": [],
  "city": "Appleton",
  "state": "WI",
  "country": "United States",
  "cbsa_code": "11540",
  "metro": {
    "cbsa_code": "11540",
    "common_name": "Appleton",
    "msa_name": "Appleton, WI",
    "path": "/advisors/wi/appleton"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2015-02-26",
  "years_registered": 11,
  "period": "2026-10-01",
  "filing_date": "2026-03-11",
  "carried_forward": false,
  "raum_total": 805000000.0,
  "raum_discretionary": 805000000.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "500m_1b",
  "raum_band_label": "$500 million to $1 billion",
  "total_employees": 6,
  "advisory_employees": 6,
  "client_count_bucket": null,
  "clients_by_type": {
    "charitable": {
      "raum": 5000000.0,
      "count": 2
    },
    "individuals": {
      "raum": 48000000.0,
      "count": 106
    },
    "pension_profit_sharing": {
      "raum": 40000000.0,
      "count": 14
    },
    "high_net_worth_individuals": {
      "raum": 700000000.0,
      "count": 120
    },
    "corporations_other_businesses": {
      "raum": 12000000.0,
      "count": 8
    }
  },
  "compensation_types": [
    "hourly",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "portfolio_management_individuals",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "CO",
    "IL",
    "OR",
    "WI"
  ],
  "websites": [
    "https://copperharbor.us"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/169978",
  "city_as_filed": "APPLETON",
  "url": "https://advisorcensus.com/firm/copper-harbor-investment-advisors-llc-appleton-wi-169978",
  "display_name": "Copper Harbor Investment Advisors, LLC",
  "summary": "Copper Harbor Investment Advisors, LLC is an SEC-registered investment advisory firm in Appleton, WI, registered since 2015, reporting $500 million to $1 billion in regulatory assets under management in its Form ADV filing dated March 11, 2026.",
  "citation": "AdvisorCensus. Copper Harbor Investment Advisors, LLC (CRD 169978): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Hourly charges"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Selection of other advisers (including private fund managers)"
  ],
  "quick_answers": [
    {
      "q": "How is Copper Harbor Investment Advisors, LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Copper Harbor Investment Advisors, LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges. The amounts are in Item 5 of its Form ADV Part 2A brochure."
    },
    {
      "q": "Where is Copper Harbor Investment Advisors, LLC located?",
      "a": "Copper Harbor Investment Advisors, LLC's principal office is in Appleton, WI, according to its Form ADV; the April 2026 filing also lists 1 other office (Schedule D, Section 1.F)."
    },
    {
      "q": "Is Copper Harbor Investment Advisors, LLC registered with the SEC or a state?",
      "a": "Copper Harbor Investment Advisors, LLC is an SEC-registered investment advisory firm, registered since 2015. Status as filed: Approved. CRD 169978."
    },
    {
      "q": "How much does Copper Harbor Investment Advisors, LLC manage?",
      "a": "Copper Harbor Investment Advisors, LLC reports $805,000,000 in regulatory assets under management in its Form ADV filing dated March 11, 2026 (100% discretionary)."
    },
    {
      "q": "How have Copper Harbor Investment Advisors, LLC's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Copper Harbor Investment Advisors, LLC: Regulatory assets under management: $442,850,000 in the October 2021 data and $805,000,000 in the October 2026 data, up 82%. Total employees: 4 in October 2021 and 6 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Copper Harbor Investment Advisors, LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (120); individuals (other than high net worth individuals) (106); pension and profit sharing plans (but not the plan participants or government pension plans) (14)."
    },
    {
      "q": "Which custodians does Copper Harbor Investment Advisors, LLC use?",
      "a": "Copper Harbor Investment Advisors, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and National Financial Services LLC as custodians holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Copper Harbor Investment Advisors, LLC report any disciplinary disclosures?",
      "a": "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/169978"
    },
    {
      "q": "What changed in Copper Harbor Investment Advisors, LLC's recent Form ADV filings?",
      "a": "In the April 2026 filing data: Regulatory assets under management went from $665,000,000 to $805,000,000 (+21%). Updated its list of owners and control persons (Schedule A)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 442850000.0,
      "total_employees": 4,
      "filing_date": "2021-02-15"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 488640000.0,
      "total_employees": 4,
      "filing_date": "2022-03-18"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 465000000.0,
      "total_employees": 4,
      "filing_date": "2023-01-25"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 575000000.0,
      "total_employees": 5,
      "filing_date": "2024-03-21"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 665000000.0,
      "total_employees": 6,
      "filing_date": "2025-01-30"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 805000000.0,
      "total_employees": 6,
      "filing_date": "2026-03-11"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Regulatory assets under management went from $665,000,000 to $805,000,000 (+21%).",
        "Updated its list of owners and control persons (Schedule A)."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [
    {
      "name": "Charles Schwab & Co., Inc.",
      "name_as_filed": "CHARLES SCHWAB & CO., INC.",
      "affiliated": false
    },
    {
      "name": "National Financial Services LLC",
      "name_as_filed": "NATIONAL FINANCIAL SERVICES LLC",
      "affiliated": false
    }
  ],
  "custodians_note": "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.",
  "markdown_url": "https://advisorcensus.com/firm/copper-harbor-investment-advisors-llc-appleton-wi-169978.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 106,
      "fewer_than_5": false,
      "raum": 48000000.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 120,
      "fewer_than_5": false,
      "raum": 700000000.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 14,
      "fewer_than_5": false,
      "raum": 40000000.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 2,
      "fewer_than_5": false,
      "raum": 5000000.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 8,
      "fewer_than_5": false,
      "raum": 12000000.0
    }
  ],
  "disclosure_line": "Reports no disclosure items on Form ADV Item 11.",
  "disclosure_items": [],
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/169978",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}