{"url":"https://nivawealth.com/firms/harborview-asset-management-332767","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/332767","regulatoryAum":124743958,"crd":"332767","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"725907","suffix":null,"lastName":"BAIRD","firstName":"RICHARD","middleName":"KENT"},{"crd":"4721777","suffix":null,"lastName":"DAVIS","firstName":"CRAIG","middleName":"GERALD"}],"total":2,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2025-01-21","regulatoryAum":108476235,"clients":6,"employees":2,"offices":2},{"filedOn":"2026-03-05","regulatoryAum":124743958,"clients":15,"employees":2,"offices":2}],"secFileNumber":"801-131191","legalName":"Harborview Asset Management LLC","displayName":"Harborview Asset Management","slug":"harborview-asset-management-332767","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Washington limited liability company","fiscalYearEnd":"December","headquarters":{"street":"7201 Pioneer Way, Ste B202","city":"Gig Harbor","state":"WA","stateName":"Washington","country":"United States","postalCode":"98335"},"tradeNames":[],"registration":{"secApproved":"25 September 2024","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":null,"staff":{"employees":2,"advisory":2,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":124743958,"discretionary":124743958,"discretionaryAccounts":32,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":null,"fewerThan5":true,"regulatoryAum":1823186},{"label":"High-net-worth individuals","clients":15,"regulatoryAum":122920772}],"feePrograms":[{"role":"main","program":"Investment management fee","feeBasis":"ceiling","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1015146","versionId":1015146,"ratePeriod":"annual","fee_billing":"arrears","submittedOn":"2026-03-05","documentName":"HARBORVIEW ASSET MANAGEMENT ADV PART 2A FEB 2026","fee_rate_low":null,"fee_rate_high":0.7,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T17:50:27.354612+00:00","documents":[{"name":"HARBORVIEW ASSET MANAGEMENT ADV PART 2A FEB 2026","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1015146","versionId":1015146,"submittedOn":"2026-03-05"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":123743958}],"custodyNote":"Harborview Asset Management does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Richard Baird","title":"CIO","crd":"725907"},{"name":"Craig Davis","title":"Managing Member, CCO","crd":"4721777"}],"ownership":[{"label":"Craig Davis","detail":"Managing member, cco in the 75% or more ownership band and a control person, since August 2024."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":1},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Washington","offices":1,"addresses":[{"street":"7201 Pioneer Way, Ste B202","city":"Gig Harbor","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"253-432-1001","stateRegisteredReps":2,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients","Other"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":27},{"label":"U.S. state and local bonds","percent":46},{"label":"Securities issued by registered investment companies or business development companies","percent":27},{"label":"Cash and cash equivalents","percent":1}],"privateFunds":0},"sources":{"adv1FilingDate":"5 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/332767/PDF/332767.pdf","brochureDate":"5 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1015146","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Harborview Asset Management have?","answer":"Harborview Asset Management has 15 clients and manages $125 million for them, as of March 2026. They include 15 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 5 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Harborview Asset Management offer?","answer":"Harborview Asset Management provides portfolio management for individuals and small businesses and portfolio management for institutions.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Harborview Asset Management charge?","answer":"Harborview Asset Management charges up to 0.70% a year for its Investment management fee. The fee is billed in arrears and is negotiable.","source":"HARBORVIEW ASSET MANAGEMENT ADV PART 2A FEB 2026, filed 5 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Harborview Asset Management use?","answer":"Harborview Asset Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $124M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 5 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Harborview Asset Management have?","answer":"Harborview Asset Management has 2 investment adviser representatives registered with state securities authorities, out of 2 employees, and 2 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Harborview Asset Management invest in?","answer":"At the end of its last fiscal year, Harborview Asset Management’s separately managed accounts held 46% state and local bonds, 27% exchange-traded equities, 27% registered funds (mutual funds, ETFs, BDCs) and 1% cash and equivalents.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Harborview Asset Management?","answer":"Harborview Asset Management’s direct owner is Craig Davis (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 5 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Harborview Asset Management get paid?","answer":"Harborview Asset Management is paid through a percentage of assets under management. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Harborview Asset Management?","answer":"Harborview Asset Management’s main office is at 7201 Pioneer Way, Ste B202, Gig Harbor, WA 98335. Its phone number is 253-432-1001.","source":"Form ADV Part 1A, Item 1.F, filed 5 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}