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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 100m 1b

HARVEST VOLATILITY MANAGEMENT, LLC

CRD 146869

NORWALK, CT

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:7f1a2148-5c7a-49d1-ecc2-1666f96de379

Data as of Oct 11, 2024 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:55 AM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 11
On other graphs: 0
Observed: Mar 28, 2012 to Oct 11, 2024
28 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $217MItem 5.F on the latest filing (2024-10-11); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $217M
Private client RAUM: $196MderivedItem 5.D individuals plus high net worth individuals
Private client share: 90%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5
Advisory employees: 5
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 64
High net worth clients: 61
SEC number: 801-69037
CIK: 1455530
CRD: 146869
Filings on the tape: 28
First filed: Mar 28, 2012
Latest filed: Oct 11, 2024
Organised: Limited Liability Company, Delaware
Website: harvestvolatilitymanagement.com

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
HARVEST EDGE RISK PREMIUM EQUITY COLLECTIVE INVESTMENT TRUST	Other Private Fund	$117M	Mar 21, 2022	1	Mar 28, 2018	dropped	n/a
HARVEST VOLATILITY ALPHA FUND LP	Hedge Fund	$18.7M	Mar 24, 2017	20	Mar 28, 2012	dropped	021-138815

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
ALISA BROCKELMAN 2012 FAMILY TRUST	Member	C	yes	12/2012	Dec 6, 2018	Oct 11, 2024
BROCKELMAN, CURTIS, FRANCIS	MANAGING MEMBER	Na	yes	03/2008	Mar 28, 2012	Oct 11, 2024
BROCKELMAN, CURTIS, FRANCIS	MANAGING MEMBER	E	yes	07/2003	Mar 28, 2012	Oct 11, 2024
CLOUGH, PATRICK, JOSEPH	CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER, CHIEF OPERATING OFFICER	Na	yes	03/2015	Mar 30, 2016	Oct 11, 2024
GUREN, ADAM, MICHAEL	Trustee	F	yes	12/2012	Dec 6, 2018	Oct 11, 2024
PERCH BAY GROUP LLC	Member	B	yes	04/2013	Dec 6, 2018	Oct 11, 2024
SELVALA, RICHARD, LEE	CHIEF EXECUTIVE OFFICER, MANAGING MEMBER	D	yes	06/2008	Mar 28, 2012	Oct 11, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
VISDOM INVESTMENT GROUP LLC	n/a	Independent wealth	$53.1M	N	yes	n/a
INTERSECT CAPITAL MANAGEMENT LLC	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2023	Mar 22, 2024	$217M	$217M	5	5	0	n/a	n/a
2022	Mar 23, 2023	$1.9B	$1.9B	13	13	0	n/a	n/a
2021	Mar 21, 2022	$5.0B	$5.0B	11	11	0	2	$179M
2020	Mar 30, 2021	$3.7B	$3.7B	20	20	0	2	$201M
2019	Mar 24, 2020	$4.8B	$4.8B	26	25	1	2	$196M
2018	Mar 27, 2019	$11B	$11B	19	18	1	2	$185M
2017	Mar 28, 2018	$13B	$13B	16	15	0	1	$0
2016	Mar 24, 2017	$8.8B	$8.8B	15	15	n/a	1	$18.7M
2015	Mar 30, 2016	$6.2B	$6.2B	13	13	n/a	1	$21.4M
2014	Mar 31, 2015	$6.2B	$6.2B	10	10	n/a	1	$13.8M
2013	Mar 25, 2014	$5.4B	$5.4B	11	7	n/a	1	$65.9M
2012	Feb 20, 2013	$2.7B	$2.7B	6	4	n/a	1	$31.5M
2011	Mar 28, 2012	$1.6B	$1.6B	n/a	n/a	n/a	1	$31.5M

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2023	$217M	$1.9B	-88.8%	$3.7B	-61.2%	5	13	0	0

Relationships

Affiliated with (5)

← VISDOM INVESTMENT GROUP LLCRegistered adviserother investment adviser, common control
factForm ADV
→ VISDOM INVESTMENT GROUP LLCRegistered adviserother investment adviser, common control
factForm ADV
← HVM ETFS LLCRegistered adviserother investment adviser, pooled vehicle sponsor, control, common control
factForm ADV
← PWCW, LLCRegistered adviserother investment adviser, bank, control, common control
factForm ADV
← WENNCO LLCRegistered adviserother investment adviser
factForm ADV

Controls (6)

← BROCKELMAN, CURTIS, FRANCISOwnerMANAGING MEMBER, ownership code E, individual
Mar 28, 2012 to presentfactForm ADV
← SELVALA, RICHARD, LEEOwnerCHIEF EXECUTIVE OFFICER, MANAGING MEMBER, ownership code D, individual
Mar 28, 2012 to presentfactForm ADV
← GUREN, ADAM, MICHAELOwnerTRUSTEE, ownership code F, individual
Dec 6, 2018 to presentfactForm ADV
← CLOUGH, PATRICK, JOSEPHOwnerCHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER, CHIEF OPERATING OFFICER, ownership code NA, individual
Mar 30, 2016 to presentfactForm ADV
← ALISA BROCKELMAN 2012 FAMILY TRUSTOwnerMEMBER, ownership code C, domestic entity
Dec 6, 2018 to presentfactForm ADV
← PERCH BAY GROUP LLCOwnerMEMBER, ownership code B, domestic entity
Dec 6, 2018 to presentfactForm ADV

Advises (2)

→ HARVEST EDGE RISK PREMIUM EQUITY COLLECTIVE INVESTMENT TRUSTPrivate fundOther Private Fund, IA, no longer reported
Mar 28, 2018 to Mar 21, 2022factForm ADV
→ HARVEST VOLATILITY ALPHA FUND LPPrivate fundHedge Fund, IA, no longer reported
Mar 28, 2012 to Mar 24, 2017factForm ADV

Dated events

Occurred
Feb 3, 2025
Left the SEC roster
Harvest Volatility Management, Llc no longer on the SEC adviser roster (last listed 2025-01-02, RAUM $216.6M)
Form ADVobserved 4 days ago
$217M
Occurred
Mar 22, 2024
Regulatory AUM changed
Harvest Volatility Management, Llc reported RAUM $216.6M, down 89% from $1.9B (2023-03-23 to 2024-03-22)
Form ADVobserved 4 days ago
$-1.7B
Occurred
Mar 23, 2023
Regulatory AUM changed
Harvest Volatility Management, Llc reported RAUM $1.9B, down 61% from $5.0B (2022-10-11 to 2023-03-23)
Form ADVobserved 4 days ago
$-3.0B
Occurred
Mar 21, 2022
Regulatory AUM changed
Harvest Volatility Management, Llc reported RAUM $5.0B, up 35% from $3.7B (2022-01-07 to 2022-03-21)
Form ADVobserved 4 days ago
$1.3B
Occurred
Jul 1, 2021
Control person left
T Laurel Mason (Chief Compliance Officer, General Counsel) no longer on Schedule A of Harvest Volatility Management, Llc (listed 2021-03-31, absent 2021-07-01)
Form ADVobserved 4 days ago
Occurred
Mar 30, 2021
Control person left
Nmn Allan Kennedy (Chief Marketing Officer) no longer on Schedule A of Harvest Volatility Management, Llc (listed 2020-06-22, absent 2021-03-30)
Form ADVobserved 4 days ago
Occurred
Mar 30, 2021
Control person left
Keith Garrett Paolella (Chief Operating Officer) no longer on Schedule A of Harvest Volatility Management, Llc (listed 2020-06-22, absent 2021-03-30)
Form ADVobserved 4 days ago
Occurred
Mar 24, 2020
Regulatory AUM changed
Harvest Volatility Management, Llc reported RAUM $4.8B, down 55% from $10.5B (2019-08-12 to 2020-03-24)
Form ADVobserved 4 days ago
$-5.8B
Occurred
Aug 12, 2019
Control person joined
T Laurel Mason (Chief Compliance Officer, General Counsel) appeared on Schedule A of Harvest Volatility Management, Llc
Form ADVobserved 4 days ago
Occurred
Mar 27, 2019
Control person joined
Keith Garrett Paolella (Chief Operating Officer) appeared on Schedule A of Harvest Volatility Management, Llc
Form ADVobserved 4 days ago
Occurred
Mar 28, 2018
Regulatory AUM changed
Harvest Volatility Management, Llc reported RAUM $12.5B, up 43% from $8.8B (2017-03-24 to 2018-03-28)
Form ADVobserved 4 days ago
$3.7B

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7f1a2148-5c7a-49d1-ecc2-1666f96de379
First observed: Mar 28, 2012
Last observed: Oct 11, 2024 23 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

HARVEST VOLATILITY MANAGEMENT, LLC

CRD 146869

NORWALK, CT

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:7f1a2148-5c7a-49d1-ecc2-1666f96de379

Data as of Oct 11, 2024 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:55 AM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

HARVEST EDGE RISK PREMIUM EQUITY COLLECTIVE INVESTMENT TRUST

Other Private Fund

$117M

Mar 21, 2022

Mar 28, 2018

dropped

n/a

HARVEST VOLATILITY ALPHA FUND LP

Hedge Fund

$18.7M

Mar 24, 2017

Mar 28, 2012

dropped

021-138815

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ALISA BROCKELMAN 2012 FAMILY TRUST

Member

yes

12/2012

Dec 6, 2018

Oct 11, 2024

BROCKELMAN, CURTIS, FRANCIS

MANAGING MEMBER

yes

03/2008

Mar 28, 2012

Oct 11, 2024

BROCKELMAN, CURTIS, FRANCIS

MANAGING MEMBER

yes

07/2003

Mar 28, 2012

Oct 11, 2024

CLOUGH, PATRICK, JOSEPH

CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER, CHIEF OPERATING OFFICER

yes

03/2015

Mar 30, 2016

Oct 11, 2024

GUREN, ADAM, MICHAEL

Trustee

yes

12/2012

Dec 6, 2018

Oct 11, 2024

PERCH BAY GROUP LLC

Member

yes

04/2013

Dec 6, 2018

Oct 11, 2024

SELVALA, RICHARD, LEE

CHIEF EXECUTIVE OFFICER, MANAGING MEMBER

yes

06/2008

Mar 28, 2012

Oct 11, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

VISDOM INVESTMENT GROUP LLC

n/a

Independent wealth

$53.1M

yes

n/a

INTERSECT CAPITAL MANAGEMENT LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2023

Mar 22, 2024

$217M

n/a

2022

Mar 23, 2023

$1.9B

n/a

2021

Mar 21, 2022

$5.0B

$179M

2020

Mar 30, 2021

$3.7B

$201M

2019

Mar 24, 2020

$4.8B

$196M

2018

Mar 27, 2019

$11B

$185M

2017

Mar 28, 2018

$13B

2016

Mar 24, 2017

$8.8B

n/a

$18.7M

2015

Mar 30, 2016

$6.2B

n/a

$21.4M

2014

Mar 31, 2015

$6.2B

n/a

$13.8M

2013

Mar 25, 2014

$5.4B

n/a

$65.9M

2012

Feb 20, 2013

$2.7B

n/a

$31.5M

2011

Mar 28, 2012

$1.6B

n/a

$31.5M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2023

$217M

$1.9B

-88.8%

$3.7B

-61.2%