Boston Harbor Investment Management, Llc
State-registered
Wealth Manager · Boutique (under $100M)
CRD 165554
· Bedford, MA
· WWW.BOSTONHARBORIM.COM
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ADV data as of Mar 09, 2026
- Regulatory AUM
- $15.2M
- Discretionary
- $15.2M
- Clients
- 23
- Avg AUM / client
- $659K
- Accounts
- 24
- Employees
- 3
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| High net worth individuals | 23 | $12.8M | 84.7% |
| Charitable organizations | Fewer than 5 clients | $2.3M | 15.3% |
People (4)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| David Alfred Page | Registered representative | Jan 2013 (14y) | ||
| Dennis Neil Caulfield | Registered representative | Jan 2013 (14y) | ||
| Robert Frank Ploder | Registered representative | CFA | Mar 2014 (12y) | |
| Jan Patric Hagemeier | Registered representative | Apr 2022 (4y) |
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) | 03/09/2026 | 1.02 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- Charles Schwab & Co. $13.3M (88% of AUM) Mar 2026
- National Advisors Trust Company $2.3M (15% 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: Mar 09, 2026.
View current Form ADV (SEC/IAPD) ↗