Harbour Investments, Inc.

• A percentage of assets under your management
• Hourly charges
• Subscription fees (for a newsletter or periodical)
• Fixed fees (other than subscription fees)
• Commissions

Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ

See the firm's brochure (dated March 31, 2026) for its fees and any account minimum, on the SEC's IAPD site.

$9,599,102,688 as of October 2026, filing dated September 29, 2026.

A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means

A firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.

• Financial planning services
• Portfolio management for individuals and/or small businesses
• Selection of other advisers (including private fund managers)

Also doing business as

1ST RATE WEALTH MANAGEMENT - MIKE PEAT, 3 RIVERS INVESTMENT ADVISORS LLC - GREG VOLITICH, AERIE PREFERRED FINANCIAL GROUP - LAURIE ELLIS-MCLEOD, AHLERS & STOLL WEALTH MANAGEMENT - PAM AHLERS, ALONGI SANTAS FINANCIAL - DAVID DISTEFANO, ASCENDANT WEALTH MANAGEMENT - TREVOR CONTI, AVILA WEALTH MANAGEMENT - ADAM HUB, AVILA WEALTH MANAGEMENT - CASSANDRA BRASHIER, AVILA WEALTH MANAGEMENT - KIMBERLY SCHREIBER, AVILA WEALTH MANAGEMENT - MADELINE SCHALIG, BEACON WEALTH ADVISORS - CHRIS MORGAN, BEACON WEALTH ADVISORS - JOSHUA PRATT, BEACON WEALTH ADVISORS - RACHEL HOOK, BEN C. KAUFMANN, BEN CAIN & ASSOCIATES - VALERIE MILLER, BEST INVESTING & TAX - BELINDA BEST, BODIN FINANCIAL SERVICES - THOMAS BODIN, BOUTIQUE WEALTH MANAGEMENT - COLLEEN WOLBERT, BOUTIQUE WEALTH MANAGEMENT - JOHN BODDEN, BRUNER FINANCIAL SERVICES, INC. - KEVIN BRUNER, BUTORAC, JOHNSON & ASSOCIATES - JOSEPH BUTORAC, BUTORAC, JOHNSON & ASSOCIATES - TYLER JOHNSON, CADE FINANCIAL SERVICES - AARON CADE, CADE FINANCIAL SERVICES - BEAU SCHROEDER, CADE FINANCIAL SERVICES - TRAVIS GASKELL, CAMELBACK WEALTH MANAGEMENT - MARK HERDING, CAPITAL FINANCIAL GROUP - DONALD GROSS, CAPITAL SEASONS WEALTH MANAGEMENT - JOSH FLANDERS, CAPITAL SEASONS WEALTH MANAGEMENT - STEPHANIE EHR, CATANZARITE FINANCIAL SERVICES - ANTHONY CATANZARITE, CATANZARITE FINANCIAL SERVICES - JOE CATANZARITE, CLEARSTEP FINANCIAL, CORNERSTONE FINANCIAL PLANNING - KEITH WICKLUND, CORNERSTONE FINANCIAL PLANNING - NOAH TRUMPY, CORNERSTONE WEALTH MANAGEMENT - JOSHUA RYAN, CORNERSTONE WEALTH MANAGEMENT PARTNERS, LLC - BRADLEY SAURBAUGH, CORNERSTONE WEALTH MANAGEMENT PARTNERS, LLC - JOHN MICHALAK, CREATIVE WEALTH PARTNERS, LLC - GEORGE ZECK, CRISPIGNA FINANCIAL SERVICES - BRIAN CRISPIGNA, CRISPIGNA FINANCIAL SERVICES - GERARD DEPREZ, CRISPIGNA FINANCIAL SERVICES - OWEN DEPREZ, CRISPIGNA FINANCIAL SERVICES - PHILLIP PETERSEN, CRISPIGNA FINANCIAL SERVICES - STEVE CRISPIGNA, CRUBEL FINANCIAL SERVICES - DOUG CRUBEL, CZUKAS, MCCALL & ASSOCIATES - ANDREW SALEMME, CZUKAS, MCCALL & ASSOCIATES - JOHN CZUKAS, CZUKAS, MCCALL & ASSOCIATES - JOSEPH CZUKAS, DEREMER AGENCY - BENJAMIN DEREMER, DEREMER AGENCY - DANIEL DEREMER, DORN WEALTH MANAGEMENT - JAMES TARP, DORN WEALTH MANAGEMENT - MEGAN DORN, DREYER WEALTH MANAGEMENT - CYDNEY MAINS, DREYER WEALTH MANAGEMENT - DYLAN MILES, DREYER WEALTH MANAGEMENT - MICHAEL DREYER, DUES WEALTH MANAGEMENT LLC - GAVIN DUES, E2 RETIREMENT CONSULTING - EMERSON DESJARDINS, E2 RETIREMENT CONSULTING - ERIK GAUGER, E2 RETIREMENT CONSULTING - MICAH HOEHNER, E2 RETIREMENT CONSULTING - SAMEER CHOWDHURY, E2 RETIREMENT CONSULTING - STUART FRIBERG, EICHEL FINANCIAL - SANDY EICHEL, EQUITY ENTERPRISES, INC - JAKOB PATCH, EQUITY ENTERPRISES, INC. - CLARK GAULKE, EXTENDED PERSONAL SERVICE, LTD - DENISE JAEHNKE, FAMILY FOCUSED FINANCIAL - CRAIG ANDERSON, FAMILY FOCUSED FINANCIAL - GREGORY "RYAN" LANNIGAN, FAMILY FOCUSED FINANCIAL - ZAYNE NEUMANN, FBR WEALTH MANAGEMENT - FLORIANA BRIGITTE ROMANELLI, FINANCIAL INNOVATIONS, LLC - AARON TACHON, FINANCIAL PLANNING GROUP, LLC - JEFFREY JAHNKE, FINANCIAL SOLUTIONS & INVESTMENTS - MARY SOMMERS-CARDEN, FORESIGHT FINANCIAL - PHIL LARSON, FORWARD WEALTH MANAGEMENT - MICHAEL BAER, FORWARD WEALTH MANAGEMENT - WILLIAM GARDNER, FOSTER FINANCIAL SERVICES, LLC - CALEB DOANE, FOSTER FINANCIAL SERVICES, LLC - HEATHER FOSTER, FOSTER FINANCIAL SERVICES, LLC - JONATHON PYNCHON, GEBHARDT FINANCIAL - BRENDA GEBHARDT, GREEN MOUNTAIN WEALTH STRATEGIES - NICHOLAS WHITE, HAREZLAK FINANCIAL GROUP LLC - JOHN HAREZLAK, HORIZON WEALTH ADVISORS - BRIAN WAELTI, HORIZON WEALTH ADVISORS - MATT NIERMEYER, INNOVATIVE FINANCIAL INC - BOB SAWICKI, INNOVATIVE FINANCIAL INC - MASON HOLIN, INTEGRITY FINANCIAL GROUP - CHRIS YARD, INTEGRITY FINANCIAL GROUP - JOSEPH YARD, INTEGRITY INVESTMENTS - ERIK ZUBERBUHLER, INTEGRITY INVESTMENTS - RODELLE ZUBERBUHLER, INTRUST FINANCIAL GROUP, INC - RICHARD DEYO, INVESTMENT PLUS - JEFF LECTKA, INVESTMENT PLUS - KARLA RENO, INVESTORS CHOICE - SCOTT PATERICK, J EKLOV WEALTH MANAGEMENT - JAMIE EKLOV, JANKA FINANCIAL GROUP, INC. - DUANE JANKA, JEFF CARLESS, JL3 FINANCIAL - JACOB SCHIESSL, JL3 FINANCIAL - JOHN LOCKE III, JMJ RETIREMENT SOLUTIONS - JEROME JEDYNAK, JOHN PATRICK PLANNING GROUP LLC - JOHN WHEELER, JOHN PATRICK PLANNING GROUP LLC - JUSTIN MANNING, JOURNEY FINANCIAL PARTNERS - CARINA MORELAND, JOURNEY FINANCIAL PARTNERS - JOSEPH COLEMAN, KEN RUMBAUGH INC - KEN RUMBAUGH, KEVIN FINN, KEYSTONE FINANCIAL - CALLEE BERRY, KEYSTONE FINANCIAL - DAN LEMENS, KEYSTONE FINANCIAL - LYNN BERRY, KIM D WOODEN, KIM I. MARSHALL - KIM MARSHALL, KIMMEL FINANCIAL - LAWRENCE KIMMEL JR, KISS FINANCIAL ADVISORS - CORBY KISS, KISS FINANCIAL ADVISORS - REBECCA ARTZ, KLUTTZ FINANCIAL PARTNERS - EVAN KLUTTZ, KNIBBE FINANCIAL INC - DAVID KNIBBE, KNIBBE INVESTMENT MANAGEMENT LLC - PAUL KNIBBE, KOENIG FINANCIAL GROUP - JEFF JANEWAY, KOENIG FINANCIAL GROUP - JOHN D'AMELIO, KOENIG FINANCIAL GROUP - TODD MCCAFFRAY, KOENIG FINANCIAL GROUP - WILLIAM BASINSKI, KRUEGER WEALTH SERVICES - DAN KRUEGER, LAKES AND PLAINS ADVISORS - KC KAUTH, LEBARON FINANCIAL GROUP - JON LEBARON, LEBARON FINANCIAL GROUP - PRESTON BAKER, LEGACY ADVISORY GROUP - SANDY DERBY, LEGACY WEALTH ADVISORS - TAYLOR ROBSON, LITTRELL FINANCIAL - NATHAN LITTRELL, MAINSTREET FINANCIAL GROUP - JENNIFER ZALAPI, MAINSTREET FINANCIAL GROUP - MARK SULLIVAN, MERAKI WEALTH MANAGEMENT - DANIEL OSBORN, MERAKI WEALTH MANAGEMENT - NOAH WADLEY, MICHAEL FISHMAN-SALNICK - JOEL GUTHMANN, MICHAEL FISHMAN-SALNICK - MICHAEL FISHMAN-SALNICK, MICHELLE CAUDLE, MOTIFF & FAYRAM, LTD. - BEN MOTIFF, MS FINANCIAL - MIKE SCHWITZ, NELSON & ASSOCIATES - JENNIFER JOHNSON, NELSON & ASSOCIATES - MATT NELSON, NELSON & ASSOCIATES - PAUL BLOCK, NEUFELD CAPITAL MANAGEMENT - CHRIS NEUFELD, NEUFELD CAPITAL MANAGEMENT - HAYLEY SCHEPPLER, NEUFELD CAPITAL MANAGEMENT - TREVOR NEUFELD, NICHOLS CREEK WEALTH PARTNERS - DUGAN HETTICH, NICHOLS CREEK WEALTH PARTNERS - STEVE SCHALIG, NUVISTA CAPITAL MANAGEMENT - ARNE JACOBSEN, NUVISTA CAPITAL MANAGEMENT - HUNTER VINKE, OOSTBURG FINANCIAL SERVICES - JASON ANGER, OOSTBURG FINANCIAL SERVICES - PABLO ALVAREZ GIL, OOSTBURG FINANCIAL SERVICES LLC - PAUL SCOFIELD, OOSTBURG FINANCIAL SERVICES LLC - STEVE KLESCEWSKI, OOSTBURG FINANCIAL SERVICES LLC - STEVE RATAJCZAK, OSHEFSKY FINANCIAL SERVICES - SHAEFER OSHEFSKY, PAGEL WEALTH MANAGEMENT - DAVID A PAGEL, PAGEL WEALTH MANAGEMENT - DAVID J PAGEL, PINE LAKE FINANCIAL - TRACI MARTENS, PLANNING CONCEPTS INC. - KERRY DAVIS, PLANNING CONCEPTS INC. - KEVIN TOBAK, PLANNING CONCEPTS INC. - KYLE ST MARIE, PLANNING CONCEPTS, INC - RANDY SCHMITZ, POINT B WEALTH ADVISORS - JAY HINKENS, POWER PLAY FINANCIAL - MATTHEW SMITH, POWER PLAY FINANCIAL - STEPHEN G SMITH, PRACTICAL RETIREMENT PLANNING - ROBERT BERG, PRACTICAL RETIREMENT PLANNING - RYAN HINNER, PREFERRED WEALTH MANAGEMENT, LLC - JOSEPH WILSON, REMMEL & ASSOCIATES - RYAN REMMEL, RETIREMENT INVESTOR SERVICES - JOEL RADAKOVITZ, RETIREMENT SOLUTIONS LLC - BRENT PAHNKE, RETIREMENT SOLUTIONS LLC - KYLE PAHNKE, RODERER FINANCIAL GROUP - W JOSEPH RODERER, SETTLERS FINANCIAL SERVICES - FRED SWEERS, SIERRA FINANCIAL SERVICES - JAMES PFEIL, SKALA FINANCIAL, LLC - MICHAEL SKALA, SOMMERS FINANCIAL SERVICES - JILL SOMMERS, STONE ARCH FINANCIAL - ROBERT PACKARD, SWEENEY FINANCIAL GROUP - MARK SWEENEY, TALENT INSURANCE & FINANCIAL SOLUTIONS - EMILY OLSON, TALENT INSURANCE & FINANCIAL SOLUTIONS - SUSAN OLSON, TED M NORRIS AGENCY - AMANDA NORRIS, THE BAYER FINANCIAL GROUP, LLC - MATT BAYER, THE LEIST GROUP, LLC - CLAYTON TYREE, THE LEIST GROUP, LLC - JESSICA HUERTA, THE LEIST GROUP, LLC - MICHAEL LEIST, THE LEIST GROUP, LLC - WALTER FAHEY, THE TRANEL FINANCIAL GROUP, TODD CARLESS, TRIANGLE FINANCIAL SERVICES, INC - ALANA FERGUSON, TRIANGLE FINANCIAL SERVICES, INC - KENDRA ERKAMAA, TRIANGLE INVESTMENTS, INSURANCE & TAXES - ROGER HELLENBRAND, VENTURE WEALTH ADVISORS - BRUCE PATTERSON, VENTURE WEALTH ADVISORS - IAN DICK, WAELCHLI FINANCIAL SERVICES - DOUG WAELCHLI, WALDOCH FINANCIAL SERVICES - MARK WALDOCH, WEALTH DISTRIBUTION STRATEGIES LLC, WESTSIDE FINANCIAL SERVICES, LLC - CASSANDRA BROSE, WESTSIDE FINANCIAL SERVICES, LLC - KELSIE WILSON, WESTSIDE FINANCIAL SERVICES, LLC - NILS EGGE, WHITE WATER WEALTH LLC - WILLIAM HERDING, WISCONSIN WEALTH ADVISORS - PATRICK FOSDICK, WOLOSON FINANCIAL MANAGEMENT - HENRY WOLOSON, WOLOSON FINANCIAL MANAGEMENT - LAURA WOLOSON, WOLTER WEALTH MANAGEMENT - JACQUELINE BRAMEL, WOLTER WEALTH MANAGEMENT - MARK WOLTER, WORKMAN RETIREMENT PLANNING - ANTHONY WORKMAN, YOUR CENTER FOR INVESTMENTS - AMY PEIRCE, YOUR CENTER FOR INVESTMENTS - CAROL FASBENDER, ZOERNER FINANCIAL - JOSHUA ZOERNER

Registration

SEC-registered investment adviser. Status as filed: Approved.

Registered since

1987 (39 years)

Employees

Total: 232. Performing investment advisory functions: 213.

Wrap fee program participation

Yes.

Other offices (Schedule D, Section 1.F)

21 other offices, as of the October 2026 filing

Appleton, WIBattle Creek, MIEdmonds, WAFitchburg, WIFort Wayne, INGreen Bay, WIGreenfield, WIHolland, MIKalamazoo, MIMadison, WIMcHenry, ILMilwaukee, WINeenah, WIOostburg, WIPortage, MIReed City, MIRockford, ILSt. Louis Park, MNVerona, WIViroqua, WIWest des Moines, IA

States registered or notice-filed

52 states or jurisdictions

AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTWAWIWVWY

SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration

4 Reports 4 disclosure items on Form ADV Item 11. View on IAPD.

Questions answered yes on this filing

Regulatory matters Items 11.C to 11.G

• 11.C(1) Has the SEC or the CFTC ever found that the firm or an advisory affiliate made a false statement or omission?
• 11.C(2) Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?
• 11.C(4) Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?
• 11.C(5) Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. What happened, and who was involved, is on the Disclosure Reporting Pages of the IAPD record. Reading a firm's disclosures

Regulatory assets under management: $3,361,186,192 in the October 2021 data and $9,599,102,688 in the October 2026 data, up 186%.

Total employees: 213 in October 2021 and 232 in October 2026.

As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.

1. October 2026
   • No longer lists the business name Kiss Financial Services - Rebecca Artz.
   • No longer lists the business name Kiss Financial Services - Corby Kiss.
   • No longer lists the business name Bayer Financial Group, LLC - Matt Bayer.
   • Added the business name The Leist Group, LLC - Jessica Huerta.
   • Added the business name The Bayer Financial Group, LLC - Matt Bayer.
   • Added the business name Meraki Wealth Management - Noah Wadley.
   • Added the business name Kiss Financial Advisors - Rebecca Artz.
   • Added the business name Kiss Financial Advisors - Corby Kiss.
   • Added the business name Keystone Financial - Callee Berry.
   • Added the business name E2 Retirement Consulting - Sameer Chowdhury.
   • Added the business name Deremer Agency - Benjamin Deremer.
2. September 2026
   • No longer lists the business name Preferred Financial Group - Patrick Gilbert.
   • No longer lists the business name Preferred Financial Group - Connor Bauserman.
   • No longer lists the business name Nuvista Capital Management - Jarrett Heck.
   • No longer lists the business name Legacy Wealth Advisors - James Tarp.
   • No longer lists the business name Lebaron Financial Group - IAN Mark.
   • No longer lists the business name Diversified Financial Advisors - Connor Bauserman.
   • No longer lists the business name Derby Financial & Associates - Sandy Derby.
   • No longer lists the business name Camelback Wealth Management - Megan Wells.
   • No longer lists the business name BEN Cain & Associates.
   • Added the business name Nuvista Capital Management - Hunter Vinke.
   • Added the business name Legacy Advisory Group - Sandy Derby.
   • Added the business name E2 Retirement Consulting - Micah Hoehner.
   • Added the business name Dorn Wealth Management - James Tarp.
   • Added the business name Cornerstone Wealth Management Partners, LLC - John Michalak.
   • Added the business name Cornerstone Wealth Management Partners, LLC - Bradley Saurbaugh.
   • Added the business name BEN Cain & Associates - Valerie Miller.
   • Added the business name Avila Wealth Management - Madeline Schalig.
3. August 2026
   • No longer lists the business name Waelti Investment Services - Brian Waelti.
   • No longer lists the business name Triangle Financial Services, Inc - Bailey Fawkes.
   • No longer lists the business name Matt Niermeyer.
   • No longer lists the business name Edgemoor Wealth Management - Carrie Desjardins.
   • No longer lists the business name E2 Retirement Consulting - Nathan Tyley.
   • No longer lists the business name Block Financial LLC - Paul Block.
   • No longer lists the business name Block Financial LLC - Mark Kroll.
   • Added the business name Oostburg Financial Services - Pablo Alvarez GIL.
   • Added the business name Nelson & Associates - Paul Block.
   • Added the business name Lebaron Financial Group - IAN Mark.
   • Added the business name Horizon Wealth Advisors - Matt Niermeyer.
   • Added the business name Horizon Wealth Advisors - Brian Waelti.
   • Added the business name Crispigna Financial Services - Owen Deprez.
4. July 2026
   • No longer lists the business name Pathway Experience - Brock Weaver.
   • No longer lists the business name Financial Solutions & Investments - Jackson Bush.
   • No longer lists the business name Alongi Santas Financial - Jakob Patch.
   • Added the business name Triangle Financial Services, Inc - Alana Ferguson.
   • Added the business name Equity Enterprises, Inc - Jakob Patch.
   • Added the business name E2 Retirement Consulting - Emerson Desjardins.
   • Added the business name Ascendant Wealth Management - Trevor Conti.
5. June 2026
   • No longer lists the business name Family Focused Financial - Grant Hageman.
   • Added the business name Family Focused Financial - Zayne Neumann.
6. May 2026
   • No longer lists the business name E2 Retirement Consulting - Caleb Radomski.
   • Added the business name BEN Cain & Associates.
7. April 2026
   • Regulatory assets under management went from $7,569,614,628 to $9,599,102,688 (+27%).
   • Employees performing advisory functions went from 212 to 213.
   • Added the business name Koenig Financial Group - William Basinski.
   • Added the business name Planning Concepts Inc. - Kevin Tobak.
   • Added the business name Alongi Santas Financial - Jakob Patch.
   • Added the business name Journey Financial Partners - Joseph Coleman.
   • Added the business name Journey Financial Partners - Carina Moreland.
   • No longer lists the business name Crispigna Financial Services - Kacy Allen.
   • No longer lists the business name Thompson Wealth Management LLC - Logan Simmons.
   • No longer lists the business name Thompson Wealth Management LLC - Neal Thompson.
   • No longer lists the business name Thompson Wealth Management LLC - Tiffany Moerke.
8. March 2026
   • Added the business name Nuvista Capital Management - Jarrett Heck.
   • Added the business name White Water Wealth LLC - William Herding.
   • No longer lists the business name Camelback Wealth Management - William Herding.
   • No longer lists the business name Graczyk Dijak Financial - Bryan Graczyk.
   • No longer lists the business name Graczyk Dijak Financial - William Dijak.
   • No longer lists the business name Koenig Financial Group - Alexander Kendall.
   • No longer lists the business name Thompson Wealth Management LLC - Austin Seifert.
   • No longer lists the business name Thompson Wealth Management LLC - Maarten KP Kerstens.
   • Added an office in Fitchburg, WI.
   • No longer lists an office in Verona, WI.
   • Updated its list of owners and control persons (Schedule A).
9. February 2026
   • Added the business name Camelback Wealth Management - Megan Wells.
   • Added the business name Koenig Financial Group - John D'Amelio.
   • No longer lists the business name Capital Seasons Wealth Management - Barbara Witte.
   • No longer lists the business name Castle Financial, LLC - Jesse Melichar.
   • No longer lists the business name Lebaron Financial Group - Richard Lebaron.
   • No longer lists the business name Mennenga Tax & Financial Services.
   • No longer lists the business name Red Oak Asset Management Inc - Geraldine Parrott.
   • No longer lists the business name Richard Financial Resources - Jeff Richard.
   • No longer lists the business name Westside Financial Services, LLC - Rita Wilczek.
10. December 2025
    • Added the business name Koenig Financial Group - Alexander Kendall.
11. November 2025
    • Added the business name Dreyer Wealth Management - Cydney Mains.
    • Added the business name Intrust Financial Group, Inc - Richard Deyo.
    • Added the business name Triangle Financial Services, Inc - Bailey Fawkes.
    • No longer lists the business name Alongi Santas Financial - Henry Clement.
    • No longer lists the business name Intrust Financial Group, Inc. - Richard Deyo.
    • No longer lists the business name Koenig Financial Group - Nathan Mayer.
    • No longer lists the business name The Bayer Financial Group, LLC - Matthew Bayer.
    • No longer lists the business name Triangle Financial Services, Inc - Bailey Davis.

Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.