# Harold Davidson & Associates, Inc

> Harold Davidson & Associates, Inc is an SEC-registered investment advisory firm in Los Angeles, CA, registered since 1974, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated August 5, 2026.

- CRD: 110994
- Filed as: HAROLD DAVIDSON & ASSOCIATES, INC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Los Angeles, CA
- Filing period: October 2026
- Form ADV filing dated: August 5, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/110994
- AdvisorCensus page: https://advisorcensus.com/firm/harold-davidson-and-associates-inc-los-angeles-ca-110994

## Quick answers

**How is Harold Davidson & Associates, Inc compensated?**
On its Form ADV (Item 5.E, October 2026), Harold Davidson & Associates, Inc reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees).

**How much does Harold Davidson & Associates, Inc charge?**
Its Form ADV Part 2A brochure dated March 3, 2026 states: Flat fee: $2,000 to $4,000 (financial planning and consulting services). Fees can differ by service and may be negotiable; the brochure is the complete statement.

**Where is Harold Davidson & Associates, Inc located?**
Harold Davidson & Associates, Inc's principal office is in Los Angeles, CA, according to its Form ADV.

**Is Harold Davidson & Associates, Inc registered with the SEC or a state?**
Harold Davidson & Associates, Inc is an SEC-registered investment advisory firm, registered since 1974. Status as filed: Approved. CRD 110994.

**How much does Harold Davidson & Associates, Inc manage?**
Harold Davidson & Associates, Inc reports $390,521,587 in regulatory assets under management in its Form ADV filing dated August 5, 2026 (100% discretionary).

**How have Harold Davidson & Associates, Inc's assets and staff changed since 2021?**
In the Form ADV data for Harold Davidson & Associates, Inc: Regulatory assets under management: $323,959,812 in the October 2021 data and $390,521,587 in the October 2026 data, up 21%. Total employees: 7 in October 2021 and 7 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Harold Davidson & Associates, Inc serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (160); high net worth individuals (77); pension and profit sharing plans (but not the plan participants or government pension plans) (5).

**Which custodians does Harold Davidson & Associates, Inc use?**
Harold Davidson & Associates, Inc's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets.

**Does Harold Davidson & Associates, Inc report any disciplinary disclosures?**
Reports 3 disclosure items on Form ADV Item 11: yes answers to 11.C(2) (SEC or CFTC finding of a violation), 11.C(4) (SEC or CFTC order), and 11.C(5) (SEC or CFTC civil money penalty or cease-and-desist order). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/110994

**What changed in Harold Davidson & Associates, Inc's recent Form ADV filings?**
In the April 2026 filing data: Changed its legal name from Harold Davidson & Associates Inc to Harold Davidson & Associates, Inc.

## From the Form ADV filing

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

### Fees and minimums (Form ADV Part 2A brochure dated March 3, 2026)

- Flat fee: $2,000 to $4,000 (financial planning and consulting services)

> The standard fee range for our flat fees is between $2,000 and $4,000.

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.

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: $390,521,587
- Discretionary: $390,521,587
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 160 | $42,925,660 |
| High net worth individuals | 77 | $317,161,410 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 5 | $18,956,508 |
| Charitable organizations | 2 | $1,835,926 |
| Corporations or other businesses not listed above | 5 | $9,642,083 |

### 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)
- Publication of periodicals or newsletters
- Other

### Firm details
- Registered since: 1974 (52 years)
- Employees: 7 total, 3 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: AZ, CA, FL, LA, NV, NY, TX
- Disclosures (Item 11): Reports 3 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 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. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/110994

### Websites listed on Form ADV (Item 1.I)
- hdainvest.com
- LinkedIn @craig-farkas-144147127

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $323,959,812 | 7 | July 30, 2021 |
| October 2022 | $353,044,173 | 7 | March 25, 2022 |
| October 2023 | $284,144,104 | 7 | March 27, 2023 |
| October 2024 | $315,618,063 | 7 | March 25, 2024 |
| October 2025 | $358,494,278 | 7 | June 17, 2025 |
| October 2026 | $390,521,587 | 7 | August 5, 2026 |

Regulatory assets under management: $323,959,812 in the October 2021 data and $390,521,587 in the October 2026 data, up 21%.
Total employees: 7 in October 2021 and 7 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Changed its legal name from Harold Davidson & Associates Inc to Harold Davidson & Associates, Inc.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Harold Davidson & Associates, Inc (CRD 110994): Form ADV filing data as of October 2026.