← Tributary

LLOYD HARBOR CAPITAL MANAGEMENT, LLC

COLD SPRING HARBOR, NY · CRD 304646 · IAPD ↗ · 631-246-0340

$354.5MRegulatory AUM
5Advisory reps
6Employees
0Clients
0Planning clients
2Private funds
0States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

53
April 2026 — LLOYD HARBOR CAPITAL MANAGEMENT, LLC shrank from 7 to 5 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
48
April 2025 — LLOYD HARBOR CAPITAL MANAGEMENT, LLC reported RAUM down 31% ($450.9M -> $309.6M).
Regulatory AUM down >=25% since last filing.
M&A & valuationRecruiting & transitions
73
April 2024 — LLOYD HARBOR CAPITAL MANAGEMENT, LLC reported RAUM up 103% ($221.7M -> $450.9M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.