Harris Investor Services LLC (Jersey City)


Harris Investor Services LLC is a large advisory firm based in Jersey City. It manages $87.26 million of regulatory assets for 357 client accounts. It has been registered with the SEC as an adviser since 2002 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 48 other states.

Harris Investor Services provides financial planning services, portfolio management for individuals and small businesses, and pension consulting services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Harris Investor Services: assets under management

The assets under management (AUM) of Harris Investor Services LLC is $87.26 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -68% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $87.26 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $244.43 thousand each.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Harris Investor Services LLC for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Harris Investor Services LLC

Gilles G Ouellette has been acting as President since 1 Feb 2002. Brenda Truant joined the executive team most recently as the Executive Officer.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Anthony Paul Festa Director of compliance/cco/crop/srop 1 Aug 1996 Other 878413
Barry Bennett Mione Managing director/director of investor services 1 Sep 1997 Other 1683147
Michael James Hogan Executive managing director/clo 1 May 1999 Other 1367915
Maryann Wasik Managing director/director of product development 1 Jan 2001 Other 4213215
Scott Henry Aschoff Director of operations 1 Jul 2001 Other 1475106
Bankmont Financial Corp. Owner 1 Feb 2002 75% - 100% 51-0275712
Gilles G Ouellette Chairman 1 Feb 2002 Other 4107031
Bruce Stephen Schwenger President/ceo 1 Feb 2002 Other 2951722
Michael J Smyth Cfo/fin op 1 Feb 2002 Other 2802717
Rodney Eugene Trautvetter Executive managing director/coo 1 Feb 2002 Other 1011807
Patrick Brooks Keeley Executive managing director 1 Feb 2002 Other 4351177
Harris Financial Corp. Owner 1 Feb 2002 75% - 100% 51-0275712
Brenda Truant Executive officer 1 Mar 2004 Other 4782403

Indirect Owners

The SEC currently registers 1 indirect owner.

Name Entity Date acquired Ownership Employer ID
Bank Of Montreal Shareholder 1 Feb 2002 75% - 100% 13-4941092

Based in Jersey City

The principal office where Harris Investor Services LLC performs its advisory services is located at Harborside Financial Center, Jersey City, NJ 07311, which is also the mailing address of the firm. An additional office of the firm is in Charlotte, NC. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 201-308-3437 or by fax 201-435-0666. The normal business hours are 9:00 am to 5:00 pm on Monday - Friday. You can find more information about the New York firm at www.csfbdirect.com.