{"url":"https://nivawealth.com/firms/harpswell-capital-advisors-168996","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/168996","regulatoryAum":587044785,"crd":"168996","history":[{"filedOn":"2021-03-25","regulatoryAum":240931026,"clients":35,"employees":5,"offices":1},{"filedOn":"2022-03-16","regulatoryAum":471857659,"clients":48,"employees":6,"offices":1},{"filedOn":"2023-03-28","regulatoryAum":401473053,"clients":52,"employees":6,"offices":1},{"filedOn":"2024-03-19","regulatoryAum":446184778,"clients":56,"employees":7,"offices":1},{"filedOn":"2025-03-24","regulatoryAum":497419486,"clients":75,"employees":6,"offices":1},{"filedOn":"2026-05-28","regulatoryAum":587044785,"clients":79,"employees":5,"offices":1}],"secFileNumber":"801-110825","legalName":"Harpswell Capital Advisors, LLC","displayName":"Harpswell Capital 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They include 35 charitable organizations, 28 individual clients and 7 state or municipal government entities.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 28 May 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Harpswell Capital Advisors offer?","answer":"Harpswell Capital Advisors provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, selecting other managers, publishing newsletters, and educational seminars.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Harpswell Capital Advisors use?","answer":"Harpswell Capital Advisors’ separately managed account assets are held at Pershing LLC (New Jersey, NJ), with $463M and The Bank of New York Mellon (New York, NY), with $105M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 28 May 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Harpswell Capital Advisors have?","answer":"Harpswell Capital Advisors has 2 investment adviser representatives registered with state securities authorities, out of 5 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 Harpswell Capital Advisors invest in?","answer":"At the end of its last fiscal year, Harpswell Capital Advisors’ separately managed accounts held 40% registered funds (mutual funds, ETFs, BDCs), 28% U.S. government and agency bonds, 21% exchange-traded equities, 4% cash and equivalents, 3% pooled vehicles (private funds and similar) and 2% high-yield corporate bonds.","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 Harpswell Capital Advisors?","answer":"Harpswell Capital Advisors’ direct owners are John Moore (75% or more) and Vanessa Bryant (5% to 10%).","source":"Form ADV Part 1A, Schedules A and B, filed 28 May 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Harpswell Capital Advisors get paid?","answer":"Harpswell Capital Advisors 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 Harpswell Capital Advisors?","answer":"Harpswell Capital Advisors’ main office is at 500 US Route 1, Suite 203, Yarmouth, ME 04096. Its phone number is 207-926-1380. Its website is harpswelladvisors.com.","source":"Form ADV Part 1A, Item 1.F, filed 28 May 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":{"url":"https://nivawealth.com/firms/harpswell-capital-advisors-168996/holdings","form":"13F-HR","periodOfReport":"2026-06-30","filedOn":"2026-08-05","filingIndexUrl":"https://www.sec.gov/Archives/edgar/data/1806630/000180663026000003/0001806630-26-000003-index.html","totalValue":155821722,"positionCount":46,"top10Share":0.8021791916790652,"top10":[{"issuer":"VANGUARD WORLD FD","titleOfClass":"ESG INTL STK ETF","cusip":"921910725","value":47059369,"shares":571525,"shareType":"SH","priorValue":41122809,"priorShares":573300},{"issuer":"VANGUARD WORLD FD","titleOfClass":"ESG US STK ETF","cusip":"921910733","value":17118468,"shares":129450,"shareType":"SH","priorValue":14432309,"priorShares":128550},{"issuer":"VANGUARD BD INDEX FDS","titleOfClass":"TOTAL BND 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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."}