Firm profile

Clear Harbor Asset Management, LLC

STAMFORD, CTCRD 152242Registration Status: ApprovedEffective since November 20, 2009SEC # 801-70821Latest ADV March 30, 2026

Clear Harbor Asset Management, LLC is an SEC registered investment adviser organized as a limited liability company with a primary office location in Stamford, CT. Its latest Form ADV filing, dated March 30, 2026, reports $2.1B in regulatory assets under management, 24 employees, 3 offices, and 1,865 accounts.

Assets Under Management

$2.1B

Employees

Offices

3 offices

Total Clients

820

Associated firm names

3 names listed

CLEAR HARBOR ASSET MANAGEMENT, LLC
FALCON CAPITAL MANAGEMENT, INC.
DAUNTLESS MANAGEMENT LLC

Leadership

2 roles identified

CEOAaron J. Kennon

CCODenise M. Adamczyk

Advisory services offered

5 types reported

Financial Planning Services

Portfolio management for businesses

Portfolio management for individuals and small businesses

Fee models offered

3 types reported

Asset based fees

Fixed fees

Performance-based fees

Offices & Contact

Primary office

STAMFORD, Connecticut, United States

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Primary office regionOther reported regions

Shading shows states and countries with reported offices. Cities are listed below; shading does not indicate service coverage.

View locations

Connecticut

STAMFORDPrimary office · WILTON

2 office records listed · 3 total offices reported. 1 additional office addresses are undisclosed and are not mapped. Counts can use different reporting dates. SEC filers may list only their largest 25 additional offices.

Contact and digital presence

ADV profile links

Phone212-867-7310 WebsiteVisit website LinkedInView profile

Regulatory Assets Under Management Breakdown

Total regulatory assets under management$2.1Bas of March 30, 2026

Discretionary99.5%

$2.0B

100% of total RAUM99.5%

Non-discretionary0.5%

$9M

0% of total RAUM0.5%

Regulatory assets under management are split between discretionary and non-discretionary assets.

Client Coverage Demographics

Top client segmentHNWI represent 55.0% of total clients.

Top client categories% of clientsClients

HNWI

55.0%

451

Individuals

40.6%

333

Corporations

2.2%

Charitable

1.1%

Pension Plans

0.9%

Assets under management Growth by Quarter

Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.

Total AUM$2.1B

Total Accounts1,865

10Y AUM Change+$1.4B (+214.9%)

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Employee Growth by Quarter

Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.

Total Employees24

Clients per Employee34:1

10Y Employee Change+9 (+60.0%)

Historical AUM and employee figures reflect available SEC Form ADV filings under this CRD. Filing gaps may reflect registration status changes, dormant periods, state registration periods, firm restructuring, or other reporting changes. Rialytix does not interpolate missing periods.

Reported ownership ranges

Highlighted bands show the percentage range reported in Form ADV.

0%25%50%75%100%

AARON JOHN KENNONDirect owner · Schedule AInterest in CLEAR HARBOR ASSET MANAGEMENT, LLC

50% to < 75%

IAN ALEXANDER ARMSTRONGDirect owner · Schedule AInterest in CLEAR HARBOR ASSET MANAGEMENT, LLC

10% to < 25%

DONALD ROGER BROOKE LIDDELLDirect owner · Schedule AInterest in CLEAR HARBOR ASSET MANAGEMENT, LLC

10% to < 25%

Bars represent the reported range at that individual ownership step, not an estimated percentage of the advisory firm. Indirect relationships may refer to intermediate entities rather than directly to Clear Harbor Asset Management, LLC.

No indirect ownership information reported in the source’s Schedule B.

Reported ownership and control details

Form ADV · Filing date 2026-03-30 · Schedules A and B

4 entries

#	Owner / person & role	Interest in entity	Reported interest	Control person	Title / status acquired	Source
1	IAN ALEXANDER ARMSTRONGCHIEF OPERATIONS OFFICERIndividual	CLEAR HARBOR ASSET MANAGEMENT, LLC	10% to less than 25%Code B	Yes	CHIEF OPERATIONS OFFICER12/2009	Schedule APDF page 26
2	AARON JOHN KENNONCHIEF EXECUTIVE OFFICERIndividual	CLEAR HARBOR ASSET MANAGEMENT, LLC	50% to less than 75%Code D	Yes	CHIEF EXECUTIVE OFFICER12/2009	Schedule APDF page 26
3	DONALD ROGER BROOKE LIDDELLVICE- CHAIRMANIndividual	CLEAR HARBOR ASSET MANAGEMENT, LLC	10% to less than 25%Code B	Yes	VICE- CHAIRMAN05/2010	Schedule APDF page 26
4	DENISE MARIE ADAMCZYKCHIEF COMPLIANCE OFFICERIndividual	CLEAR HARBOR ASSET MANAGEMENT, LLC	Less than 5%Code NA	No	CHIEF COMPLIANCE OFFICER03/2021	Schedule APDF page 26

Less than 5% may include zero. Code F identifies a role without specifying a percentage. Reported interests may overlap and may not include every owner. Total indirect ownership is not calculated.

Compliance & Disclosures

Responses were selected by the RIA in its filing. Questions are shortened for readability; “you” refers to the reporting firm, and some questions also cover advisory affiliates.

Item 11 responses have not been pulled yet for this RIA.

RIA or supervised-person involvementThe RIA’s response about whether these events involve the firm or its supervised persons is unavailable.RIA responseUnavailable

AFelonies2 Unavailable

In the past ten years, have you or any advisory affiliate:

A1Been convicted of or pleaded guilty or no contest to a felony?Unavailable
A2Been charged with a felony?Unavailable

BMisdemeanors2 Unavailable

In the past ten years, have you or any advisory affiliate:

B1Been convicted of or pleaded guilty or no contest to a misdemeanor involving investments, an investment-related business, fraud, false statements or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, or extortion?Unavailable
B2Been charged with a misdemeanor of the kind listed above?Unavailable

CSEC or CFTC actions5 Unavailable

Has the SEC or CFTC ever:

C1Found you or an advisory affiliate made a false statement or omission?Unavailable
C2Found you or an advisory affiliate violated SEC or CFTC regulations or statutes?Unavailable
C3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?Unavailable
C4Entered an order against you or an advisory affiliate in connection with investment-related activity?Unavailable
C5Imposed a civil money penalty on you or an advisory affiliate, or ordered you or an advisory affiliate to cease and desist from any activity?Unavailable

DOther regulatory actions5 Unavailable

Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority ever:

D1Found you or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?Unavailable
D2Found you or an advisory affiliate violated investment-related regulations or statutes?Unavailable
D3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?Unavailable
D4In the past ten years, entered an order against you or an advisory affiliate in connection with investment-related activity?Unavailable
D5Denied, suspended, or revoked your or an advisory affiliate’s registration or license, or otherwise prevented association with an investment-related business or restricted activities?Unavailable

ESelf-regulatory organization actions4 Unavailable

Has a self-regulatory organization or commodities exchange ever:

E1Found you or an advisory affiliate made a false statement or omission?Unavailable
E2Found you or an advisory affiliate violated its rules, other than a violation designated as a minor rule violation under an SEC-approved plan?Unavailable
E3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?Unavailable
E4Disciplined you or an advisory affiliate by expulsion, suspension, barring association with other members, or otherwise restricting activities?Unavailable

FProfessional authorizations1 Unavailable

FHas an authorization to act as an attorney, accountant, or federal contractor granted to you or an advisory affiliate ever been revoked or suspended?Unavailable

GPending regulatory proceedings1 Unavailable

GAre you or any advisory affiliate now the subject of a regulatory proceeding that could result in a “Yes” answer to any part of C, D, or E?Unavailable

HCivil judicial actions and proceedings4 Unavailable

(1) Court actions

Has a domestic or foreign court:

H(1)(a)In the past ten years, enjoined you or an advisory affiliate in connection with investment-related activity?Unavailable
H(1)(b)Found that you or an advisory affiliate violated investment-related statutes or regulations?Unavailable
H(1)(c)Dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or an advisory affiliate by a state or foreign financial regulatory authority?Unavailable

(2) Pending civil proceedings

H(2)Are you or any advisory affiliate now the subject of a civil proceeding that could result in a “Yes” answer to any part of H(1)?Unavailable

* Metrics are based on the latest available data, including Form ADV filings, brochures, and relationship summaries pulled from the SEC IAPD, and may be subject to change. Learn what is included in the Rialytix data. Please refer to the firm's official disclosures for the most accurate information using their CRD number. This is not investment advice.