Harwood Investment Strategies, L.L.C.

Harwood Investment Strategies provides investment management to individuals, families, business entities, trusts, estates, non-profit organizations and foundations. Services include discretionary and non-discretionary portfolio management for individual accounts as well as discretionary management of employer-sponsored pension plans and non-discretionary 401(k) plan consulting and education.

The firm combines fundamental and quantitative analysis, focusing primarily on individual equities and exchange-traded funds while maintaining a generally long-term orientation and trading around core holdings to manage risk or exploit short-term opportunities. Portfolios are tailored to each client’s time horizon and risk tolerance, with initial position sizing generally limited to five percent of a household portfolio except for U.S. government bonds, CDs, mutual funds, closed-end funds and ETFs.

Compared with many peers of similar size, Harwood’s practice is notable for managing pooled employer-sponsored plans subject to ERISA fiduciary duties and for employing derivatives in client accounts — the brochure specifically lists options contracts and discloses the potential for short positions or use of margin. The firm uses Charles Schwab custody and Schwab institutional services for trade execution and custody, and it leverages Institutional Shareholder Services (ISS) for proxy analysis and voting, reflecting an operational model that combines small-firm scale with institutional service relationships.