New Harbor Financial Group, Llc
- Regulatory AUM
- $821M
- Discretionary
- $794M
- Clients
- 1,019
- Avg AUM / client
- $806K
- Accounts
- 2,197
- Employees
- 9
AUM over time
Annual snapshots from Form ADV filings · as of Jul 27, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 728 | $243M | 29.6% |
| High net worth individuals | 282 | $563M | 68.6% |
| Pension and profit sharing plans | 4 | $6.9M | 0.85% |
| Charitable organizations | 5 | $7.9M | 0.97% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Netjets Aviation, Inc. 401(k) Retirement Plan Netjets Aviation, Inc. | 2024 | |
| Wpmg 401(k) Retirement Savings Plan Washington Permanente Medical Group, P.C. | 2024 | |
| United Airlines Pilot Retirement Account Plan United Airlines, Inc. | 2024 |
People (6)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| John Christopher Llodra | Managing Member | CFP | Jan 2005 (22y) | 50% – 75% |
| Michael Robert Preston | Managing Member | CFP | Jan 2005 (22y) | 50% – 75% |
| Drisco, Christine, Marie | Chief Compliance Officer | Jan 2011 (16y) | Less than 5% | |
| Justin David Griffin | Registered representative | Jan 2012 (15y) | ||
| Kathlyn Marie Scheel | Registered representative | Oct 2022 (4y) | ||
| John Paul Maher | Registered representative | Jul 2024 (2y) |
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.
Retirement plans served (3)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Netjets Aviation, Inc. 401(k) Retirement Plan | Netjets Aviation, Inc. | 4,042 | $2.5B | 01/01/2024 |
| Wpmg 401(k) Retirement Savings Plan | Washington Permanente Medical Group, P.C. | 1,654 | $1.5B | 01/01/2024 |
| United Airlines Pilot Retirement Account Plan | United Airlines, Inc. | 17,444 | $16.8B | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 04/06/2026 | 1.03 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: THE COMMONWEALTH OF MASSACHUSETTS OFFICE OF THE SECRETARY OF THE COMMONWEALTH SECURITIES DIVISION ALLEGED THAT THE FIRM FAILED TO REASONABLY SUPERVISE INVESTMENT ADVISER REPRESENTATIVE'S MANAGEMENT OF LEVERAGED INVESTED ETF INVESTMENTS BETWEEN AUGUST 1, 2016 AND JULY 31, 2018. SPECIFICALLY, THE DIVISION STATED THAT NEW HARBOR COULD NOT DEMONSTRATE THAT THERE WERE DOCUMENTATION PROCEDURES IN PLACE TO MONITOR THAT THEIR IAR COULD TRACK THE PERFORMANCE OF A LEVERAGED INVERSE EXCHANGE TRADED FUND ON A FREQUENCY AS OFTEN AS DAILY. Status: Final Sanction Detail: $822.55 RESTITUTION, $100,000 ADMINISTRATIVE FINE, $1538.12 DISGORGEMENT OF MANAGEMENT FEES Summary: DISGORGEMENT OF MANAGEMENT FEES, RESTITUTION, AND ADMINISTRATIVE FINE HAVE BEEN PAID IN FULL.
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 businesses/institutional clients
- • Educational seminars/workshops
Custody
Reported custodians
- Charles Schwab & Co. $821M (100% of AUM) Apr 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having 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: Jul 27, 2026.
View current Form ADV (SEC/IAPD) ↗