Harold Davidson & Associates, Inc
- Regulatory AUM
- $391M
- Discretionary
- $391M
- Clients
- 249
- Avg AUM / client
- $1.6M
- Accounts
- 423
- Employees
- 7
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Aug 05, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 160 | $42.9M | 11.0% |
| High net worth individuals | 77 | $317M | 81.2% |
| Pension and profit sharing plans | 5 | $19.0M | 4.85% |
| Charitable organizations | 2 | $1.8M | 0.47% |
| Corporations and other businesses | 5 | $9.6M | 2.47% |
People (5)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Harold Alan Davidson | President | Nov 1973 (53y) | 75% or more | |
| Gamboa, Gina, Josephine | Chief Compliance Officer | Oct 2004 (22y) | Less than 5% | |
| Vick Khoboyan | Registered representative | Feb 2024 (2y) | ||
| Stephanie Chow | Registered representative | Jul 2025 (1y) | ||
| Craig Eric Farkas | Registered representative | CFP | Oct 2025 (1y) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/03/2026 | 1000 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: DURING THE COVID PANDEMIC HAROLD DAVIDSON & ASSOCIATES, INC. WAS SANCTIONED AND FINED BY THE SEC FOR THE LATE FILING AND DELIVERY OF THE NEWLY ADOPTED RULE 204-5 JUNE 5, 2019 FORM CRS CLIENT RELATIONSHIP SUMMARY DEADLINE OF JUNE 30, 2020. HAROLD DAVIDSON & ASSOCIATES, INC. BECAME FULLY COMPLIANT WITH ALL REGULATIONS OF FORM CRS APRIL 20, 2021. Status: Final Sanction Detail: PENALTY OF $25K PAID JULY 28, 2021. NO PORTION WAS WAIVED. PAID IN FULL. Summary: COMPLETE.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for pooled investment vehicles
- • Publication of periodicals or newsletters
- • Other services
Custody
Reported custodians
- Charles Schwab & Co. $389M (100% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Aug 05, 2026.
View current Form ADV (SEC/IAPD) ↗