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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

HVM ETFS LLC

CRD 305223

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:e0c151b9-e5ce-23b0-d98a-5323f46e27e0

Data as of Oct 11, 2022 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:20 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 3
On other graphs: 0
Observed: Aug 30, 2019 to Oct 11, 2022
6 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: $0Item 5.F on the latest filing (2022-10-11); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 0
Advisory employees: 0
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 0
Individual clients: 0
High net worth clients: 0
SEC number: 801-117425
CRD: 305223
Filings on the tape: 6
First filed: Aug 30, 2019
Latest filed: Oct 11, 2022
Organised: Limited Liability Company, Delaware

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
BROCKELMAN, CURTIS, FRANCIS	INDIRECT OWNER	C	yes	04/2013	Aug 30, 2019	Oct 11, 2022
CLOUGH, PATRICK, JOSEPH	CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER, CHIEF OPERATING OFFICER	Na	yes	10/2022	Oct 11, 2022	Oct 11, 2022
HARVEST VOLATILITY MANAGEMENT, LLC	SOLE MEMBER	E	yes	08/2019	Aug 30, 2019	Oct 11, 2022
PAOLELLA, GARRETT, KEITH	CHIEF EXECUTIVE OFFICER	Na	yes	08/2019	Aug 30, 2019	Oct 11, 2022
SELVALA, RICHARD, LEE	CHIEF EXECUTIVE OFFICER	C	yes	06/2008	Aug 30, 2019	Oct 11, 2022

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
HARVEST VOLATILITY MANAGEMENT, LLC	n/a	Former SEC adviser	$217M	Y	yes	n/a
HARVEST EDGE GRPE I 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	Offices	Private funds	Fund GAV
2021	Mar 11, 2022	$0	$0	0	n/a	n/a
2020	Mar 31, 2021	$0	$0	0	n/a	n/a
2019	Mar 23, 2020	$0	$0	1	n/a	n/a

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
2021	$0	$0	n/a	n/a	n/a	0	0	0	0

Relationships

Affiliated with (1)

→ HARVEST VOLATILITY MANAGEMENT, LLCRegistered adviserother investment adviser, pooled vehicle sponsor, control, common control
factForm ADV

Controls (5)

← HARVEST VOLATILITY MANAGEMENT, LLCOwnerSOLE MEMBER, ownership code E, domestic entity
Aug 30, 2019 to presentfactForm ADV
← BROCKELMAN, CURTIS, FRANCISOwnerINDIRECT OWNER, ownership code C, individual
Aug 30, 2019 to presentfactForm ADV
← SELVALA, RICHARD, LEEOwnerCHIEF EXECUTIVE OFFICER, ownership code C, individual
Aug 30, 2019 to presentfactForm ADV
← CLOUGH, PATRICK, JOSEPHOwnerCHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER, CHIEF OPERATING OFFICER, ownership code NA, individual
Oct 11, 2022 to presentfactForm ADV
← PAOLELLA, GARRETT, KEITHOwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual
Aug 30, 2019 to presentfactForm ADV

Dated events

Occurred
Oct 11, 2022
Control person joined
Joseph Patrick Clough (Chief Compliance Officer, Chief Financial Officer, Chief Operating Officer) appeared on Schedule A of Hvm Etfs Llc
Form ADVobserved 4 days ago
Occurred
Jul 1, 2021
Control person left
T Laurel Mason (Chief Compliance Officer) no longer on Schedule A of Hvm Etfs Llc (listed 2021-03-31, absent 2021-07-01)
Form ADVobserved 4 days ago
Occurred
Aug 30, 2019
First Form ADV filing
Hvm Etfs Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e0c151b9-e5ce-23b0-d98a-5323f46e27e0
First observed: Aug 30, 2019
Last observed: Oct 11, 2022 47 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.

HVM ETFS LLC

CRD 305223

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:e0c151b9-e5ce-23b0-d98a-5323f46e27e0

Data as of Oct 11, 2022 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:20 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BROCKELMAN, CURTIS, FRANCIS

INDIRECT OWNER

yes

04/2013

Aug 30, 2019

Oct 11, 2022

CLOUGH, PATRICK, JOSEPH

CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER, CHIEF OPERATING OFFICER

yes

10/2022

Oct 11, 2022

HARVEST VOLATILITY MANAGEMENT, LLC

SOLE MEMBER

yes

08/2019

Aug 30, 2019

Oct 11, 2022

PAOLELLA, GARRETT, KEITH

CHIEF EXECUTIVE OFFICER

yes

08/2019

Aug 30, 2019

Oct 11, 2022

SELVALA, RICHARD, LEE

CHIEF EXECUTIVE OFFICER

yes

06/2008

Aug 30, 2019

Oct 11, 2022

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

HARVEST VOLATILITY MANAGEMENT, LLC

n/a

Former SEC adviser

$217M

yes

n/a

HARVEST EDGE GRPE I LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2021

Mar 11, 2022

n/a

2020

Mar 31, 2021

n/a

2019

Mar 23, 2020

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2021

n/a