Flagship Harbor Advisors, Llc
- Regulatory AUM
- $3.4B
- Discretionary
- $3.4B
- Clients
- 7,373
- Avg AUM / client
- $464K
- Accounts
- 12,815
- Employees
- 61
AUM over time
Annual snapshots from Form ADV filings · as of May 21, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 4,724 | $855M | 25.0% |
| High net worth individuals | 2,556 | $2.5B | 73.8% |
| Pension and profit sharing plans | 29 | $16.2M | 0.47% |
| Charitable organizations | 27 | $12.7M | 0.37% |
| Corporations and other businesses | 37 | $12.1M | 0.35% |
People (60)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| David Jay Kaufman | Managing Member / Chief Executive Officer | CFP Chartered Financial Consultant | Dec 2010 (16y) | 75% or more |
| John Porter Sawyer | Chief Compliance Officer | CFP | Dec 2010 (16y) | Less than 5% |
| Brian Jeffrey Griffith | Registered representative | CFP | Dec 2010 (16y) | |
| Gregory Paul Munroe | Registered representative | CFP | Dec 2010 (16y) | |
| John Martin Fenton | Registered representative | CFP | Dec 2010 (16y) | |
| Timothy Peter Higgins | Registered representative | CFP Chartered Financial Consultant | Dec 2010 (16y) | |
| Wayne Joseph Bradley | Registered representative | CFP | Dec 2010 (16y) | |
| Matthew Aaron Morrow | Registered representative | Mar 2011 (15y) | ||
| Philip John Mathey | Registered representative | May 2011 (15y) | ||
| Rodney Melvin Laurenz | Registered representative | Jun 2011 (15y) | ||
| Robert Michael Thorne | Registered representative | Jul 2011 (15y) | ||
| Richard Brian Anderson | Registered representative | Sep 2012 (14y) | ||
| Thomas Owen Shepard | Registered representative | CFP | Jan 2013 (14y) | |
| Daniel Edward Parker | Registered representative | May 2013 (13y) | ||
| Michael Ray Sanchez | Registered representative | Jul 2013 (13y) | ||
| Daniel Francis Moran | Registered representative | CFP | Nov 2013 (13y) | |
| Adam Bateman | Registered representative | Dec 2013 (13y) | ||
| Joshua Julio Topp | Registered representative | Chartered Financial Consultant | Dec 2013 (13y) | |
| Jason Ryan Duguay | Registered representative | CFP | Dec 2013 (13y) | |
| Dwayne Anthony Hall | Registered representative | CFP | Apr 2014 (12y) | |
| Michael Krasco | Registered representative | Sep 2014 (12y) | ||
| James F Pierotti | Registered representative | Nov 2014 (12y) | ||
| Jefferson Stacy Jones | Registered representative | Dec 2014 (12y) | ||
| Alan Alaeddin Fatemi | Registered representative | Feb 2015 (11y) | ||
| Christopher Michael Sheehan | Registered representative | CFP | Feb 2015 (11y) | |
| Quentin William Climer | Registered representative | May 2015 (11y) | ||
| Irina V Andreasen | Registered representative | Jun 2015 (11y) | ||
| Kevin Michael Smith | Registered representative | CFP | Jun 2015 (11y) | |
| Edward Joseph Marinucci | Registered representative | Dec 2015 (11y) | ||
| Jesse P Bessett | Registered representative | CFP | Dec 2015 (11y) | |
| Thomas Marshall Williams | Registered representative | CFP | Dec 2015 (11y) | |
| Lester Russell Kefauver | Registered representative | Dec 2015 (11y) | ||
| Darrell Mitchell Avery | Registered representative | Feb 2016 (10y) | ||
| Kimberly Ann Kelly | Registered representative | Sep 2016 (10y) | ||
| Brendan Michael Lammers | Registered representative | Oct 2016 (10y) | ||
| Jonathan Edward Coughlin | Registered representative | Oct 2019 (7y) | ||
| Adam Michael Hogue | Registered representative | CFP | Feb 2020 (6y) | |
| Steven Brett Bruce | Registered representative | Sep 2020 (6y) | ||
| Nancy Greenwood Andrew | Registered representative | Oct 2020 (6y) | ||
| Timothy Benjamin Wyand | Registered representative | Feb 2021 (5y) | ||
| Erik Lawson Jefferson | Registered representative | Sep 2021 (5y) | ||
| Julian Brett Morris | Registered representative | Chartered Financial Consultant | Jan 2022 (5y) | |
| Kyle Hurley | Registered representative | Jan 2022 (5y) | ||
| Scott Michael Mondeau | Registered representative | Mar 2022 (4y) | ||
| Bryan Marc Gravel | Registered representative | Aug 2022 (4y) | ||
| Nathan Robert Waller | Registered representative | Apr 2023 (3y) | ||
| Walter Henry Riester | Registered representative | CFP | Sep 2023 (3y) | |
| Carleton William Crockett | Registered representative | Nov 2023 (3y) | ||
| Kelsey Lillian Strait | Registered representative | Nov 2023 (3y) | ||
| Mark William Shevlin | Registered representative | Dec 2023 (3y) | ||
| Daria Rose Grady | Registered representative | Dec 2023 (3y) | ||
| John E Welch | Registered representative | Dec 2023 (3y) | ||
| Fatima Awada | Registered representative | Nov 2024 (2y) | ||
| Vijay N Addanki | Registered representative | Jan 2025 (2y) | ||
| Lee George Pappas | Registered representative | Mar 2025 (1y) | ||
| Scott David Nelson | Registered representative | Sep 2025 (1y) | ||
| Robert Alden Hill | Registered representative | Oct 2025 (1y) | ||
| Jason Taylor | Registered representative | Nov 2025 (1y) | ||
| Gregory James Prayzner | Registered representative | Jan 2026 (1y) | ||
| Jonathan Brooks Marston | Registered representative | Jan 2026 (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) | 05/21/2026 | 1.47 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: THE SECURITIES DIVISION ALLEGED THAT THE REGISTRANT FAILED TO REGISTER AN INDIVIDUAL AS AN INVESTMENT ADVISER REPRESENTATIVE. Status: Final Sanction Detail: THE REGISTRANT PAID THE FULL AMOUNT OF RESTITUTION TO CLIENTS SERVICED BY THE INDIVIDUAL IN THE AMOUNT OF $294,131.08 ON OR BEFORE NOVEMBER 16, 2017. THE REGISTRANT PAID THE FULL AMOUNT OF THE ADMINISTRATIVE FINE TO THE SECURITIES DIVISION ON OCTOBER 5, 2017. Summary: DUE TO AN ADMINISTRATIVE ERROR, THE INDIVIDUAL, ALTHOUGH QUALIFIED UNDER MASSACHUSETTS LAW, WAS NOT TIMELY REGISTERED AN INVESTMENT ADVISER REPRESENTATIVE OF THE FIRM. FOLLOWING THE IDENTIFICATION OF THIS ISSUE, THE REGISTRANT ENTERED INTO AN AGREEMENT WITH THE SECURITIES DIVISION PURSUANT TO WHICH IT REFUNDED THE FEES CLIENTS PAID FOR SERVICES PROVIDED BY THE INDIVIDUAL, AS WELL AS AN ADMINISTRATIVE FINE.
Allegations: THE BUREAU OF SECURITIES REGULATION ALLEGED THAT THE REGISTRANT FAILED TO REGISTER AN INDIVIDUAL AS AN INVESTMENT ADVISER REPRESENTATIVE. Status: Final Sanction Detail: THE REGISTRANT PAID THE FULL AMOUNT OF THE ADMINISTRATIVE FINE TO THE STATE OF NEW HAMPSHIRE BUREAU OF SECURITIES REGULATION ON DECEMBER 3, 2018 Summary: DUE TO AN ADMINISTRATIVE ERROR, THE INDIVIDUAL, ALTHOUGH QUALIFIED UNDER NEW HAMPSHIRE LAW, WAS NOT REGISTERED AN INVESTMENT ADVISER REPRESENTATIVE OF THE FIRM. FOLLOWING THE IDENTIFICATION OF THIS ISSUE, THE REGISTRANT ENTERED INTO AN AGREEMENT WITH THE BUREAU OF SECURITIES PURSUANT TO WHICH IT PAID AN ADMINISTRATIVE FINE.
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
- • Selection of other advisers
- • Educational seminars/workshops
Custody
Reported custodians
- LPL Financial $3.4B (100% of AUM) May 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: May 21, 2026.
View current Form ADV (SEC/IAPD) ↗