Good Harbor Financial, LLC is a large advisory firm based in Barrington. It manages $231.53 million of regulatory assets for 280 client accounts. It has been registered with the SEC as an adviser since 2011 and has operated in the jurisdictions of Arizona, California, Florida, and 13 other states.
Good Harbor Financial provides portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients, and selection of other advisers. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.
The assets under management (AUM) of Good Harbor Financial, LLC is $231.53 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 251% since the beginning of its operation, and $14.15 million of the total AUM is attributable to clients outside of the United States.
The advisory firm has a single stream of revenue. Clients pay Good Harbor Financial, LLC for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.
The firm provides services to individuals, investment companies, other investment advisers, and pooled investment vehicles. The largest group of clients of Good Harbor Financial is investment companies with 6 clients and $162.89 million of assets under management. Among the 11 most similar advisory firms, Good Harbor Financial has the 2nd highest percentage of investment companies out of all clients.
The amount of regulatory assets under management is $230.46 million for 276 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 1% of the firm’s clients are foreign persons or businesses.
Good Harbor Financial doesn't advise any private funds.
The company employs 7 people that are either part- or full-time employees. 86 percent of the employees work as investment advisers or researchers. 3 employees are registered as investment adviser representatives with the state securities authorities.
There are 5 people with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.
Neil Ray Peplinski has served as the Chief Investment Officer since 1 Apr 2003 and Paul Russell Ingersoll is the Chief Executive Officer of Good Harbor Financial, LLC family office. Kevin W Swanson joined the executive team most recently as the Chief Compliance Officer.
The principal office where Good Harbor Financial, LLC performs its advisory services is located at 330 East Main Street, Barrington, IL 60010, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.
You can reach the main office by calling the phone number 312-224-8150 or by fax 312-674-7230. The normal business hours are 9:00 - 5:00 on Monday - Friday. You can find more information about the New York firm at goodharborfinancial.com.