{"url":"https://nivawealth.com/firms/little-harbor-advisors-168700","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/168700","regulatoryAum":242633524,"crd":"168700","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"1002171","suffix":null,"lastName":"ROCHE","firstName":"RICHARD","middleName":"PAUL"}],"total":1,"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":"2021-03-30","regulatoryAum":123421404,"clients":2,"employees":15,"offices":1},{"filedOn":"2022-03-30","regulatoryAum":352574095,"clients":5,"employees":17,"offices":1},{"filedOn":"2023-03-31","regulatoryAum":197913617,"clients":4,"employees":14,"offices":1},{"filedOn":"2024-03-28","regulatoryAum":204603752,"clients":5,"employees":14,"offices":1},{"filedOn":"2025-03-28","regulatoryAum":202054202,"clients":4,"employees":12,"offices":1},{"filedOn":"2026-09-14","regulatoryAum":242633524,"clients":4,"employees":13,"offices":1}],"secFileNumber":"801-78486","legalName":"Little Harbor Advisors, LLC","displayName":"Little Harbor Advisors","slug":"little-harbor-advisors-168700","website":"https://littleharboradvisors.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/168700/51f6c55a1bef9b72-r1.webp","tone":"light","width":604,"height":200,"sourceUrl":"https://www.littleharboradvisors.com/","sourceLabel":"Little Harbor Advisors, LLC, website"},"classification":{"segment":"registered_funds","segmentLabel":"Fund management","type":"fund_manager","typeLabel":"Mutual funds & ETFs","feeDisclosure":"payment_only"},"linkedinUrl":"https://www.linkedin.com/company/little-harbor-advisors-llc","founded":null,"organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"30 Doaks Lane","city":"Marblehead","state":"MA","stateName":"Massachusetts","country":"United States","postalCode":"01945"},"tradeNames":[],"registration":{"secApproved":"27 August 2013","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":null,"staff":{"employees":13,"advisory":11,"brokerDealerReps":1,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":242633524,"discretionary":242633524,"discretionaryAccounts":4,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Investment companies","clients":3,"regulatoryAum":234013306},{"label":"Pooled investment vehicles","clients":1,"regulatoryAum":8620218}],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[],"custodyNote":"Little Harbor Advisors has custody of client assets.","otherCustodians":[],"leadership":[{"name":"John Hassett","title":"Chief Executive Officer","crd":"4840733"},{"name":"Richard Tomney","title":"President-Wealth Advisor Solutions","crd":"4570511"},{"name":"Justin Long","title":"Chief Compliance Officer","crd":"7703113"},{"name":"Mark Grader","title":"Chief Risk Officer","crd":"2531780"},{"name":"Jeffrey Landle","title":"Chief Investment Officer","crd":"1039917"},{"name":"Eyk Van Otterloo","title":"Member","crd":"4339176"}],"ownership":[{"label":"John Hassett","detail":"Chief executive officer in the 5% to 10% ownership band and a control person, since April 2012. Also manager of Tai Equity Holdings, LLC and a control person, since September 2010."},{"label":"Tai Equity Holdings, LLC","detail":"Manager in the 10% to 25% ownership band and a control person, since April 2012."},{"label":"Eyk Van Otterloo","detail":"Member in the 10% to 25% ownership band, since July 2012."},{"label":"Jane Walker McKinney Trust","detail":"Member in the 10% to 25% ownership band, since May 2014."},{"label":"J.MCK Inc.","detail":"Indirect owner: trustee of Jane Walker McKinney Trust and a control person, since January 1999.","parent":"Jane Walker McKinney Trust"},{"label":"David Groom","detail":"Indirect owner: a shareholder of J.MCK Inc. in the 75% or more band and a control person, since January 2000.","parent":"J.MCK Inc."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Massachusetts","offices":1,"addresses":[{"street":"30 Doaks Lane","city":"Marblehead","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"781-639-3000","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Other"],"activities":["Portfolio management for investment companies","Portfolio management for pooled investment vehicles (other than investment companies)"],"financialPlanningClients":null,"assetMix":[],"privateFunds":1},"sources":{"adv1FilingDate":"14 September 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/168700/PDF/168700.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-21","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Little Harbor Advisors have?","answer":"Little Harbor Advisors has 4 clients and manages $243 million for them, as of September 2026. They include 3 investment companies and 1 pooled investment vehicle.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 14 September 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Little Harbor Advisors offer?","answer":"Little Harbor Advisors provides portfolio management for investment companies and portfolio management for pooled vehicles.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How many financial advisors does Little Harbor Advisors have?","answer":"Little Harbor Advisors has 0 investment adviser representatives registered with state securities authorities, out of 13 employees, and 11 perform investment advisory functions. 1 employee is a registered representative of a broker-dealer and 0 employees are 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":"Who owns Little Harbor Advisors?","answer":"Little Harbor Advisors is owned through a trust by David Groom. Its direct owners are John Hassett, Tai Equity Holdings, LLC, Eyk Van Otterloo and Jane Walker McKinney Trust, each holding 25% or less.","source":"Form ADV Part 1A, Schedules A and B, filed 14 September 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Little Harbor Advisors get paid?","answer":"Little Harbor Advisors is paid through a percentage of assets under management and other compensation. 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 Little Harbor Advisors?","answer":"Little Harbor Advisors’ main office is at 30 Doaks Lane, Marblehead, MA 01945. Its phone number is 781-639-3000. Its website is littleharboradvisors.com.","source":"Form ADV Part 1A, Item 1.F, filed 14 September 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":{"url":"https://nivawealth.com/firms/little-harbor-advisors-168700/holdings","form":"13F-HR","periodOfReport":"2026-06-30","filedOn":"2026-08-14","filingIndexUrl":"https://www.sec.gov/Archives/edgar/data/1539639/000153963926000005/0001539639-26-000005-index.html","totalValue":203417090,"positionCount":6,"top10Share":1,"top10":[{"issuer":"State Street SPDR S&P 500 ETF Trust","titleOfClass":"TR UNIT","cusip":"78462F103","value":161775772,"shares":216634,"shareType":"SH","priorValue":140116,"priorShares":215451},{"issuer":"Invesco QQQ Trust Series 1","titleOfClass":"UNIT SER 1","cusip":"46090E103","value":24882956,"shares":33790,"shareType":"SH","priorValue":19445,"priorShares":33690},{"issuer":"State Street SPDR Bloomberg Short Term High Yield Bond ETF","titleOfClass":"ST TERM HIGH ETF","cusip":"78468R408","value":4244008,"shares":170530,"shareType":"SH","priorValue":4484,"priorShares":179495},{"issuer":"iShares iBoxx USD High Yield Corporate Bond ETF","titleOfClass":"IBOXX HI YD ETF","cusip":"464288513","value":4173851,"shares":52461,"shareType":"SH","priorValue":4393,"priorShares":55222},{"issuer":"State Street SPDR Bloomberg High Yield Bond ETF","titleOfClass":"ST BLOO HIGH ETF","cusip":"78468R622","value":4173462,"shares":43543,"shareType":"SH"},{"issuer":"Xtrackers USD High Yield Corporate Bond ETF","titleOfClass":"XTRACK USD HIGH","cusip":"233051432","value":4167041,"shares":114728,"shareType":"SH"}],"positionsListed":6,"positions":[{"issuer":"State Street SPDR S&P 500 ETF Trust","titleOfClass":"TR UNIT","cusip":"78462F103","value":161775772,"shares":216634,"shareType":"SH","priorValue":140116,"priorShares":215451},{"issuer":"Invesco QQQ Trust Series 1","titleOfClass":"UNIT SER 1","cusip":"46090E103","value":24882956,"shares":33790,"shareType":"SH","priorValue":19445,"priorShares":33690},{"issuer":"State Street SPDR Bloomberg Short Term High Yield Bond ETF","titleOfClass":"ST TERM HIGH ETF","cusip":"78468R408","value":4244008,"shares":170530,"shareType":"SH","priorValue":4484,"priorShares":179495},{"issuer":"iShares iBoxx USD High Yield Corporate Bond ETF","titleOfClass":"IBOXX HI YD ETF","cusip":"464288513","value":4173851,"shares":52461,"shareType":"SH","priorValue":4393,"priorShares":55222},{"issuer":"State Street SPDR Bloomberg High Yield Bond ETF","titleOfClass":"ST BLOO HIGH ETF","cusip":"78468R622","value":4173462,"shares":43543,"shareType":"SH"},{"issuer":"Xtrackers USD High Yield Corporate Bond ETF","titleOfClass":"XTRACK USD HIGH","cusip":"233051432","value":4167041,"shares":114728,"shareType":"SH"}]},"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."}