Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

NONE
NONE
HARBOR INVESTMENT ADVISORY, LLC
151085
HARBOR INVESTMENT ADVISORY, LLC
151085
HARBOR INVESTMENT ADVISORY, LLC
151085
NONE
NONE
HARBOR INVESTMENT ADVISORY LLC
151085
NONE
NONE
HARBOR INVESTMENT ADVISORY LLC
151085
HARBOR INVESTMENT ADVISORY, LLC
151085
NOT APPLICABLE
NONE
HARBOR INVESTMENT ADVISORY, LLC
151085
MORE THAN 5
NONE
NONE
NONE
HARBOR INVESTMENT ADVISORY, LLC
151085
NONE
NONE
HARBOR INVESTMENT ADVISORY, LLC
151085
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2026-06-02
D/A
$0.00
Yes
$0.00
Yes
CERTAIN INVESTORS ARE REQUIRED TO PAY (I) AN UPFRONT PLACEMENT FEE AND/OR (II) AN ONGOING ANNUAL FEE TO THE PLACEMENT AGENT.
2025-08-08
D/A
$115,000,000.00
Yes
$0.00
No
THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.
2025-03-04
D/A
$7,020,857.00
No
$0.00
No
CLARIFICATION OF ITEM 12: THE RECIPIENTS LISTED ARE IN ADDITION TO THOSE REPORTED IN THE FILING SUBMITTED ON 3.4.2024 WITH THE EXCEPTION OF SECURITIES AMERICAS, INC., TRIAD ADVISORS, LLC AND WOODBURY FINANCIAL SERVICES WHO WERE INTENTIONALLY REMOVED.
2024-11-21
D/A
$112,500,000.00
Yes
$0.00
No
THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.
2024-08-01
D/A
$0.00
No
$0.00
No
2023-11-21
D/A
$109,000,000.00
Yes
$0.00
No
THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.
2023-05-22
D/A
$0.00
No
$0.00
No
2023-05-22
D/A
$0.00
No
$0.00
No
2022-11-30
D/A
$105,500,000.00
Yes
$0.00
No
THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.
2021-11-23
D/A
$102,000,000.00
Yes
$0.00
No
THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.
2020-11-25
D/A
$98,000,000.00
Yes
$0.00
No
THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.
2020-10-16
D/A
$0.00
No
$0.00
No
AS OF 7/1/20, A MTHLY FEE WILL BE PD TO PLCMT AGT UP TO 1/12 OF 1% (1% APR) OF THE NET ASSETS OF ISSUER AS OF BEG OF EA MO (PRIOR TO 7/1/20, MTHLY FEE WAS PD TO PLCMT AGT UP TO 1/12 OF 2% OR 2% APR). THIS FEE IS REFERRED AS THE ONGOING PLCMT AGT FEE.
2019-11-29
D/A
$34,500,000.00
Yes
$0.00
No
THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS
2019-11-29
D/A
$92,500,000.00
Yes
$0.00
No
THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.
2019-10-28
D/A
$24,846,855.00
Yes
$0.00
No
2019-10-18
D/A
$5,000,000.00
Yes
$0.00
Yes
2019-10-17
D/A
$0.00
No
$0.00
No
A MONTHLY FEE WILL BE PAID TO THE PLACEMENT AGENT OF UP TO 1/12 OF 2.00% (A 2.00% ANNUAL RATE)OF THE NET ASSETS OF THE ISSUER AS OF THE BEGINNING OF EACH MONTH. THIS FEE IS REFERRED TO AS THE ONGOING PLACEMENT AGENT FEE.
2019-07-29
D/A
$5,000,000.00
Yes
$0.00
Yes
2018-11-08
D/A
$65,000,000.00
Yes
$0.00
No
THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS
2018-11-08
D/A
$85,000,000.00
Yes
$0.00
No
THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.
2018-10-26
D/A
$16,020,459.00
Yes
$0.00
No
2018-10-18
D/A
$0.00
No
$0.00
No
A MONTHLY FEE WILL BE PAID TO THE PLACEMENT AGENT OF UP TO 1/12 OF 2.00% (A 2.00% ANNUAL RATE)OF THE NET ASSETS OF THE ISSUER AS OF THE BEGINNING OF EACH MONTH. THIS FEE IS REFERRED TO AS THE ONGOING PLACEMENT AGENT FEE.
2018-10-18
D/A
$0.00
No
$0.00
No
THE PLACEMENT AGENT WILL RECEIVE A MONTHLY FEE OF UP TO 1/12TH OF 2.00% (A 2.00% ANNUAL RATE) OF THE NET ASSETS OF THE ISSUER AS OF THE BEGINNING OF EACH MONTH. THIS FEE IS REFERRED TO AS THE ONGOING PLACEMENT AGENT FEE.
2018-10-05
D
$1,000,000.00
Yes
$0.00
Yes
2018-04-06
D/A
$61,000,000.00
Yes
$0.00
No
THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS
2018-03-22
D/A
$70,000,000.00
Yes
$0.00
No
THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.
2017-10-26
D/A
$7,741,850.00
Yes
$0.00
No