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Aalok Kirit Shah

Investment Adviser Representative at HARBOUR INVESTMENT MANAGEMENT L.L.C.

Portland, ORCRD #3244464Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
10 yrs
States Registered
3 states
Exams Passed
5

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

Aalok Kirit Shah has worked in the securities industry since 2016. They are registered to provide investment advisory services in Oregon, Texas, and Washington.

Registrations & licenses

Registration type
Dual-registered
Registered in 3 states
OregonTexasWashington
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 8/4/2016
Series 63
Uniform Securities Agent State Law Examination
Passed 9/28/2001
Series 87
Research Analyst Exam - Part II Regulations Module
Passed 2/11/2005
Series 86
Research Analyst Exam - Part I Analysis Module
Passed 1/7/2005
Series 7
General Securities Representative Examination
Passed 12/29/1999

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Asset tierAnnual rate
First $1,000,0000.80%
Next $1,000,0000.70%
Next $3,000,0000.50%
Amount over $5,000,0000.25%
Account minimum: $500,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

Harbour Investment Management L.L.C. Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

ZUNA, LLCCurrent
2/19/2020Portland, OR
HARBOUR INVESTMENT MANAGEMENT L.L.C.Current
7/21/2017Edmonds, WA
NORTHWEST CAPITAL MANAGEMENT INC.
8/4/201612/18/2018Portland, OR
NORTHWEST CAPITAL MANAGEMENT INC.
8/4/201612/31/2017Portland, OR

Official records & sources

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Aalok Kirit Shah has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.