HARBOUR INVESTMENTS, INC.

Registered adviser

CIK

810121

Location

MADISON, WI

Portfolio Value

Mid $7,396,959,577

Diversification

Diversified

Filing Date

Global Rank

#678 / 8,827 ▼ 14

Top Industry

Semiconductors 9.3%

Period ended 4 months ago

Filed Aug 12, 2026 · 3mo

21 quarters · since Mar 2021

Regulatory profile

From Form ADV, the SEC filer profile, 13D/13G type codes and N-CEN, never from the name.

Holder type

Registered adviser

Form ADV roster, Nov 1, 2026

Form ADV adviser

CRD 19258

Roster of Nov 1, 2026

Regulatory AUM

$9,599,102,688

Main clients

Individuals and high net worth (96% of AUM)

Form ADV history

Monthly rosters from Dec 2019; each row is a run with the same figures, newest first.

Rosters	Regulatory AUM	Main clients
Apr 2026 to Nov 2026	$9,599,102,688	Individuals and high net worth (96%)
Apr 2025 to Mar 2026	$7,569,614,628	Individuals and high net worth (96%)
Apr 2024 to Mar 2025	$6,101,862,276	Individuals and high net worth (96%)
May 2023 to Mar 2024	$4,468,811,819	Individuals and high net worth (96%)
Mar 2023 to Apr 2023	$4,468,811,819	Individuals and high net worth (96%)
Mar 2022 to Feb 2023	$4,702,680,907	Individuals and high net worth (97%)

3 earlier changes not shown.

Stated strategy

Fundamental active, Value, Wealth management / planning Form ADV Part 2A, Mar 31, 2026 · original

In the firm's words

Fundamental active: Some portfolio managers employ fundamental analysis seeking to understand the underlying value of securities
Value: to determine whether securities are under‐ or over‐valued.
Wealth management / planning: Harbour’s selection and review of third party managers includes reviewing AUM

Portfolio style

Measured from the filed 13F common-share book for Jun 30, 2026, never from the firm's own description.

Style

Diversified active

Top 10 weight 41.8%, 38.2 effective positions, active share 66.9% against every 13F filer's combined book; it meets none of the index-like, systematic-like or concentrated tests

Turnover

Low turnover

17.2% over the last four quarters (under 30%)

Horizon

Long horizon

Value-weighted holding period 19.0 quarters (12+)

Closest benchmark: every 13F filer's combined book, active share 66.9%; sector active share 62.8% against the combined 13F book's sector weights.

Over time 21 measured quarters

How the bands are measured

Style bands measure the filed 13F common-share book each closed quarter, tested in this order. Unknown: under $10,000,000 of valued equity or 5 stocks. Index-like (100+ stocks): active share of 20% or less against the closest benchmark, which is the S&P 500, S&P MidCap 400, S&P SmallCap 600, Russell 1000, Russell 2000, Nasdaq-100 or Dow Jones Industrial Average (weighted by an index-tracking fund's reported holdings or the index's constituents nearest the quarter end, over the names resolved to companies, and only when those are 90%+ of its weight) or every 13F filer's combined book, or index series holding 80%+ of the registered fund assets it advises (N-CEN) and equal to 50%+ of its book. Systematic-like: 500+ stocks, 100%+ annual turnover and a top 10 weight of 25% or less. Concentrated: a top 10 weight of 60%+ or 12 or fewer effective positions. Diversified active: none of these. Turnover is the smaller of buys and sells over average equity value, summed over four quarters: low under 30%, high 100%+. Horizon is the value-weighted number of quarters each position has been held: short under 4, long 12+.

Clone Performance

Build a hypothetical price-return history from this filer's public 13F holdings.

View clone backtest

Portfolio Concentration

4,715 tracked positions · as of Jun 30, 2026 · Δ vs Mar 31, 2026

Top Position

9.2%

+0.2 pts

Top 5

29.3%

+0.3 pts

Top 10

41.8%

+0.5 pts

HHI

262

Diversified+6

Portfolio Trend

21 quarters · across all stocks

Sector Breakdown

As of Jun 30, 2026

Sector	% Portfolio	Value	Positions
Unclassified	75.7%	$5,596,349,580	2,046
Technology	6.6%	$489,406,802	357
Financial Services	4.1%	$306,304,805	586
Industrials	2.8%	$208,864,116	362
Healthcare	2.7%	$197,801,589	352
Consumer Defensive	2.0%	$147,224,277	109
Consumer Cyclical	1.8%	$136,048,062	244
Communication Services	1.4%	$103,410,520	113
Utilities	1.1%	$78,087,750	81
Energy	0.9%	$64,540,481	156
Basic Materials	0.5%	$34,559,675	162
Real Estate	0.5%	$34,361,920	147

Last Quarter's Activity

Export CSV

Jun 30, 2026 vs Mar 31, 2026

Added To

Positions the filer increased

25 positions

Ticker	Company	Δ Shares	Shares	Value
VUG	VANGUARD GROWTH INDEX FUND	+646,881	768,216	$66,174,126
ACYN	First Trust Exchange-Traded Fund	+473,212	473,948	$9,853,378
VGT	VANGUARD INFORMATION TECHNOLOGY INDEX FUND	+300,144	343,516	$41,057,032
INCM		+271,912	392,293	$11,319,614
CGCP	Capital Group Core Plus Income ETF	+195,967	3,413,963	$76,097,235
SDVY	First Trust SMID Cap Rising Dividend Achievers ETF	+187,438	4,017,829	$173,329,143
VO	VANGUARD MID-CAP INDEX FUND	+170,089	230,052	$18,535,289
IMAR		+134,313	143,417	$4,366,330
ESN	Northern Lights Fund Trust II	+132,429	859,522	$17,090,735
SCHD	Schwab U.S. Dividend Equity ETF	+128,838	2,054,311	$65,142,201
LOTI		+125,018	1,560,574	$40,604,574
—		+124,380	155,283	$4,256,307
MGK	VANGUARD MEGA CAP GROWTH INDEX FUND	+106,104	132,912	$11,684,293
FTCB	First Trust Core Investment Grade ETF	+98,941	2,873,314	$59,922,963
VEA	Vanguard FTSE Developed Markets ETF	+91,521	764,009	$54,435,641
BUFX	FT Vest Laddered Enhance & Moderate Buffer ETF	+91,434	91,619	$2,031,193
UCON	First Trust Smith Unconstrained Bond ETF	+77,065	4,197,950	$104,444,996
QVOY	Q3 All-Season Active Rotation ETF	+75,674	126,114	$3,901,336
FEM	First Trust Emerging Markets AlphaDEX Fund	+75,382	134,363	$4,298,272
CGCB	Capital Group Fixed Income ETF Trust	+73,445	427,246	$11,185,300
BUFR	FT Vest Laddered Buffer ETF	+69,535	2,685,827	$98,113,260
KJUN		+65,139	65,298	$1,948,231
KMAY		+64,452	66,012	$2,005,444
DFSV	Dimensional US Small Cap Value ETF	+63,428	930,059	$36,076,988
QYLD	Global X NASDAQ 100 Covered Call ETF	+60,214	701,648	$12,931,372
No positions match the current search.

Trimmed

Positions the filer reduced

25 positions

Ticker	Company	Δ Shares	Shares	Value
THIR	Thor Financial Technologies Trust	−249,991	41,095	$1,417,777
—		−113,394	325,171	$8,990,978
DDFJ		−111,731	12,512	$247,362
SGOL	abrdn Gold ETF Trust	−99,263	86,895	$3,321,995
BATT	Amplify Lithium & Battery Technology ETF	−90,616	316	$4,856
CPRO		−84,058	9,587	$270,113
DDFL		−82,101	117,997	$2,505,076
HFRO	Highland Opportunities & Income Fund	−77,123	65,120	$464,305
PDBC	Invesco Optimum Yield Diversified Commodity Strategy No K-1 ETF	−68,246	18,094	$287,332
IJAN		−66,853	3,326	$126,654
TQQQ	ProShares UltraPro QQQ	−63,721	3,178	$257,418
KFEB		−62,864	4,432	$137,702
XJAN	FT Vest U.S. Equity Enhance & Moderate Buffer ETF - January	−56,362	8,704	$334,277
YDEC	FT Vest International Equity Moderate Buffer ETF - December	−54,297	26,460	$728,840
DDFD		−51,364	17,085	$341,324
OCTH		−51,209	91,585	$2,197,582
APRH		−49,788	87,521	$2,181,898
APRJ		−49,630	87,908	$2,175,723
OCTJ		−48,651	88,102	$2,106,518
XLU	State Street(R) Utilities Select Sector SPDR(R) ETF	−48,359	107,010	$4,851,833
KDEC		−46,533	2,942	$83,493
SPAB	State Street(R) SPDR(R) Portfolio Aggregate Bond ETF	−42,177	56,322	$1,437,337
XLRE	State Street(R) Real Estate Select Sector SPDR(R) ETF	−41,083	12,735	$560,722
EOCT		−41,068	439	$14,994
LW	Lamb Weston Holdings, Inc.	−39,488	6,286	$271,429
No positions match the current search.

New Positions

Positions the filer opened this quarter

25 positions

Ticker	Company	Shares	Value
SPCT		1,594,641	$43,202,013
ACYS	FT Vest Laddered Autocallable Barrier & Resilient Income ETF	203,025	$4,170,133
DDFY		153,054	$3,065,671
HONA	Honeywell Aerospace Inc.	13,414	$2,965,567
BFC	Bank First Corp	17,049	$2,529,219
CPRA		89,974	$2,488,680
SPCX	Space Exploration Technologies Corp	12,961	$2,214,516
IALT		28,279	$793,225
JIVE	JPMorgan International Value ETF	8,195	$753,563
GGOV		13,049	$656,234
FDXF	FedEx Freight Holding Company, Inc.	2,532	$382,332
EDGF	3EDGE Dynamic Fixed Income ETF	13,980	$344,537
NASA	Tema Etfs LLC	9,262	$281,379
DDFZ		11,947	$231,652
XOEF	iShares S&P 500 ex S&P 100 ETF	7,402	$223,318
BSCX		8,375	$176,335
QAI	NYLIM Hedge Multi-Strategy Tracker ETF	4,465	$163,419
DDFA		6,747	$136,289
JUNP	PGIM S&P 500 Buffer 12 ETF - June	4,230	$134,006
ARLI	AllianzIM International Equity Buffer15 Uncapped Apr ETF	4,811	$126,000
IBTO	iShares iBonds Dec 2033 Term Treasury ETF	4,543	$109,631
LGND	Ligand Pharmaceuticals Inc	340	$107,470
EDGH	3EDGE Dynamic Hard Assets ETF	2,751	$87,509
OAEM	ONEASCENT EMERGING MARKETS ETF	1,574	$78,520
PBI	Pitney Bowes Inc	4,429	$77,596
No positions match the current search.

Sold Out

Positions the filer fully exited

25 positions

Ticker	Company	Shares	Value
FLBR	Franklin FTSE Brazil ETF	34,584	$826,211
CPNS	Calamos Nasdaq-100 Structured Alt Protection ETF - September	19,012	$516,613
—		11,273	$396,169
MMU	Western Asset Managed Municipals Fund Inc.	14,959	$153,778
TDEC	FT Vest Emerging Markets Buffer ETF - December	3,569	$86,883
—		1,649	$77,173
CPSA	Calamos S&P 500 Structured Alt Protection ETF - August	2,063	$55,474
—		724	$54,797
CXSE	WisdomTree China ex-State-Owned Enterprises Fund	1,309	$49,506
PMOC	PGIM S&P 500 Max Buffer ETF - October	1,928	$48,595
WDEF	WisdomTree Europe Defense Fund	1,554	$48,080
CUK	CARNIVAL PLC	1,813	$46,738
SCEC	STERLING CAPITAL ENHANCED CORE BOND ETF	1,759	$44,124
BUFB		1,217	$43,702
PBOC	PGIM S&P 500 Buffer 20 ETF - October	1,495	$43,023
XUSP		933	$41,196
AGOX	Starboard Investment Trust	1,500	$39,930
AUMI	Themes Gold Miners ETF	369	$35,658
PMAU	PGIM S&P 500 Max Buffer ETF - August	1,197	$30,740
PMSE	PGIM S&P 500 Max Buffer ETF - September	1,200	$30,574
RIGS	ALPS Strategic Income Fund	1,189	$27,180
GLDI	Credit Suisse AG	150	$24,903
MFSV	MFS Active Value ETF	875	$23,388
MFSG	MFS Active Growth ETF	907	$23,210
NESR	National Energy Services Reunited Corp.	1,035	$22,221
No positions match the current search.

Portfolio Positions

Compact Export CSV View 13F filing

4,715 tracked positions · $7,396,959,577 total · filing declares 4,768 positions · $7,426,684,157 · as of Jun 30, 2026

All sectors Basic Materials Communication Services Consumer Cyclical Consumer Defensive Energy Financial Services Healthcare Industrials Real Estate Technology Utilities

Showing 1–50 of 4,715 positions by value · page 1 of 95

Ticker	Company	Type	Shares	Δ Shares	Value (USD)	% Δ Value	Held (qtrs)	Est. cost/share	% of Portfolio
VOO	VANGUARD 500 INDEX FUND	Added	414,994	+19,820	$285,022,029	+20.7%	22	before history	3.85%
QQQ	Invesco Qqq Trust, Series 1	Added	293,296	+15,080	$215,983,174	+34.5%	22	before history	2.92%
SDVY	First Trust SMID Cap Rising Dividend Achievers ETF	Added	4,017,829	+187,438	$173,329,143	+14.8%	22	before history	2.34%
AAPL	Apple Inc. Technology	Reduced	453,496	-6,141	$131,223,602	+12.5%	22	before history	1.77%
AVEM	Avantis Emerging Markets Equity ETF	Added	1,181,713	+33,854	$114,023,487	+23.3%	10	$71.86	1.54%
UCON	First Trust Smith Unconstrained Bond ETF	Added	4,197,950	+77,065	$104,444,996	+2.3%	22	before history	1.41%
IVV	iShares Core S&P 500 ETF	Added	132,375	+8,913	$99,134,313	+22.9%	22	before history	1.34%
IJH	iShares Core S&P Mid-Cap ETF	Added	1,275,896	+18,243	$98,384,340	+15.8%	22	before history	1.33%
BUFR	FT Vest Laddered Buffer ETF	Added	2,685,827	+69,535	$98,113,260	+11.0%	22	before history	1.33%
SPY	Spdr S&P 500 ETF Trust	Added	102,680	+5,454	$76,678,343	+21.3%	22	before history	1.04%
CGCP	Capital Group Core Plus Income ETF	Added	3,413,963	+195,967	$76,097,235	+5.9%	17	before history	1.03%
RDVY	First Trust Rising Dividend Achievers ETF	Added	912,649	+25,422	$73,979,327	+22.1%	22	before history	1.00%
IVW	iShares S&P 500 Growth ETF	Reduced	527,487	-5,326	$72,545,287	+20.4%	22	before history	0.98%
SPYM	State Street(R) SPDR(R) Portfolio S&P 500(R) ETF	Added	785,230	+43,654	$69,006,012	+21.6%	22	before history	0.93%
VUG	VANGUARD GROWTH INDEX FUND	Added	768,216	+646,881	$66,174,126	+24.9%	22	before history	0.89%
NVDA	Nvidia Corp Technology	Reduced	327,830	-2,661	$65,595,504	+13.8%	22	before history	0.89%
SCHD	Schwab U.S. Dividend Equity ETF	Added	2,054,311	+128,838	$65,142,201	+10.3%	22	before history	0.88%
IVE	iShares S&P 500 Value ETF	Reduced	276,574	-6,039	$62,798,892	+5.2%	22	before history	0.85%
VTI	VANGUARD TOTAL STOCK MARKET INDEX FUND	Added	162,611	+1,771	$60,172,574	+16.6%	22	before history	0.81%
FTCB	First Trust Core Investment Grade ETF	Added	2,873,314	+98,941	$59,922,963	+3.0%	10	$21.12	0.81%
PG	PROCTER & GAMBLE Co Consumer Defensive	Reduced	386,463	-798	$56,670,934	+1.3%	22	before history	0.77%
ABBV	AbbVie Inc. Healthcare	Reduced	221,662	-6,363	$55,779,025	+12.5%	22	before history	0.75%
VEA	Vanguard FTSE Developed Markets ETF	Added	764,009	+91,521	$54,435,641	+26.3%	22	before history	0.74%
SCHX	Schwab U.S. Large-Cap ETF	Added	1,819,857	+38,293	$53,558,391	+17.2%	22	before history	0.72%
CGDV	Capital Group Dividend Value ETF	Added	1,085,868	+2,499	$53,511,575	+16.1%	17	before history	0.72%
DFAI	Dimensional International Core Equity Market ETF	Added	1,275,139	+476	$52,599,483	+5.9%	13	$39.94	0.71%
AVDE	Avantis International Equity ETF	Added	587,109	+43,582	$52,370,122	+13.6%	4	$82.17	0.71%
MSFT	Microsoft Corp Technology	Added	131,312	+9,269	$48,982,002	+8.4%	22	before history	0.66%
DUHP	Dimensional US High Profitability ETF	Added	1,140,749	+45,097	$47,603,455	+18.2%	14	$38.03	0.64%
AMZN	Amazon Com Inc Consumer Cyclical	Reduced	185,330	-3,256	$44,171,552	+12.5%	22	before history	0.60%
VIG	Vanguard Specialized Funds	Added	184,786	+1,485	$43,724,063	+10.9%	22	before history	0.59%
CGGR	Capital Group Growth ETF	Added	925,166	+50,758	$43,667,835	+24.3%	17	before history	0.59%
SPCT		NEW	1,594,641	NEW	$43,202,013	NEW	1	$27.11	0.58%
VGT	VANGUARD INFORMATION TECHNOLOGY INDEX FUND	Added	343,516	+300,144	$41,057,032	+35.7%	22	before history	0.56%
FTCS	First Trust Capital Strength ETF	Reduced	436,885	-2,817	$41,032,239	+0.6%	22	before history	0.55%
LOTI		Added	1,560,574	+125,018	$40,604,574	+10.6%	3	$25.48	0.55%
CAT	Caterpillar Inc Industrials	Added	37,977	+509	$40,441,707	+52.4%	22	before history	0.55%
AIRR	First Trust Exchange-Traded Fund VI	Added	301,864	+36,797	$40,223,378	+37.0%	22	before history	0.54%
CGBL	Capital Group Core Balanced ETF	Added	1,015,848	+45,206	$38,561,590	+15.5%	11	$33.32	0.52%
DFSV	Dimensional US Small Cap Value ETF	Added	930,059	+63,428	$36,076,988	+18.8%	3	$33.14	0.49%
LMBS	First Trust Low Duration Opportunities ETF	Reduced	718,902	-11,718	$35,786,941	−1.7%	22	before history	0.48%
FBND	Fidelity Total Bond ETF	Added	781,949	+17,961	$35,570,860	+2.1%	22	before history	0.48%
SCHB	Schwab U.S. Broad Market ETF	Added	1,163,565	+45,188	$33,696,842	+20.0%	22	before history	0.46%
JQUA	JPMorgan U.S. Quality Factor ETF	Reduced	460,857	-8,410	$33,310,743	+15.8%	15	$63.45	0.45%
LLY	ELI LILLY & Co Healthcare	Added	27,683	+182	$33,203,823	+31.3%	22	before history	0.45%
JBND	JPMorgan Active Bond ETF	Reduced	595,638	-10,615	$31,866,633	−2.2%	7	$54.05	0.43%
COWZ	Pacer US Cash Cows 100 ETF	Added	490,316	+4,273	$30,497,655	+0.3%	22	before history	0.41%
BNDX	Vanguard Total International Bond ETF	Added	603,409	+15,265	$29,223,097	+3.4%	22	before history	0.40%
RDVI	FT Vest Rising Dividend Achievers Target Income ETF	Added	974,155	+39,344	$28,640,157	+19.9%	14	$24.68	0.39%
MU	Micron Technology Inc Technology	Reduced	24,609	-3,033	$28,405,922	+204.2%	22	before history	0.38%

Showing the top 50 of 4,715 positions. Create a free account to see every position, past quarters, search, filters and CSV export.

Covers the securities this platform tracks: U.S.-listed common stock and the put/call positions reported on it. A 13F can also report security types outside that coverage — preferred shares, bonds, warrants, untracked share classes — so the filing's own declared total can exceed the figures above. The source filing is linked at the top of this table.