Madison, WI Seminole Centre Ct Office
TeamData sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Harbour Investments, Inc.
Multi-team
Firm-wide stats for Harbour Investments, Inc.
About
Harbour serves a broad mix of individual clients (including non‑HNW and high‑net‑worth), trusts, pension and 401(k) plans, and other institutional and corporate entities. The firm provides discretionary and non‑discretionary portfolio management, financial planning and consultation, wrap‑fee programs, third‑party manager relationships, and participant (held‑away) account management.
Investment approach and implementation vary by adviser and manager: individual IARs may use fundamental or technical analysis while Harbour’s approved third‑party managers employ a range of approaches (including modeling, macroeconomic analysis, and modern portfolio theory). Accounts are monitored on an ongoing basis with formal reviews at least annually, and clients can access multiple execution pathways including wrap programs, third‑party manager platforms, and Harbour’s traded‑model platform offered to advisors.
Harbour also operates as a FINRA‑registered broker‑dealer and discloses that many IARs are dually registered, so the firm both sells commission‑based products and provides advisory services; it also receives 12b‑1 and other sponsor compensation and details those arrangements and related conflicts in its brochure. The firm’s regulatory history includes an SEC consent order addressing marketing agreement compensation and disclosures, which the firm discloses and incorporates into its conflict‑of‑interest discussions.
Based on Harbour Investments, Inc.
Location
5940 Seminole Centre Ct, Suite 210
Madison WI 53711
Advisors at this office
2
Advisors at this office
Matthew S
Series 63, Series 65
Madison, WI
Harbour Investments, Inc.
Matthew Smith is a financial advisor at Harbour Investments, Inc. with 20 years of industry experience and holds Series 63 and Series 65 designations. His prior work includes roles at Jackson National Life Distributors, LLC and Wealth Distribution Strategies. Outside of his advisory role, he serves as an assistant hockey coach at Edgewood High School in Madison, WI. Harbour Investments provides investment advisory and financial planning services to a diverse client base, including individual investors, charitable and corporate clients, and retirement plans. The firm employs a combination of fundamental and technical analysis to create customized strategies, offering various portfolio management options and model-based solutions through a subscription platform.
Stephen S
ChFC®, Series 63
Madison, WI
Harbour Investments, Inc.
Stephen Smith is a financial advisor at Harbour Investments, Inc. with 42 years of industry experience. He holds the ChFC® designation and Series 63 license. His prior roles include positions at LPL Financial and operating his own advisory practice. Outside of advisory work, he is also an independent insurance agent and a career agent with Ohio National Life Insurance Company. Harbour Investments provides investment advisory and financial planning services to a diverse client base, including individual investors, charitable organizations, corporate clients, and retirement plans. The firm employs both fundamental and technical analysis to create customized investment strategies using a variety of instruments and offers model-based solutions through a subscription platform.
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