DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Harvey Investment Company, LLC
Latest filing Aug 4, 2026
First filing on the tape Mar 12, 2012 · 36 filings
SEC status approved since Oct 26, 2000
RAUM
$1.0B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
89%
$911M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$257M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$1.0B as of Aug 4, 2026
Mar 12, 2012$329M then
HNW client RAUM$902M as of Aug 4, 2026
Feb 28, 2018$557M then
State-registered IARs (5.B.3)4 as of Aug 4, 2026
Mar 12, 20120 then
Employees (5.A)4 as of Aug 4, 2026
Mar 15, 20135 then
Private funds: no history
RAUM +9.3% over the last fiscal year+5.8% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Aug 4, 2026; every figure names its basis
- RAUM per advisor
- $257MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 44derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.5MderivedHNW RAUM over HNW clients
- Average account
- $3.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.1%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $27.0M, 69 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$902M88%
- Charitable organizations$115M11%
- Individuals$9.1M0.9%
- Corporations and businesses$2.9M0.3%
- Individual clients
- 13reported
- HNW clients
- 163reported
- Pension plan clients
- n/areported
- Charitable clients
- 8reported
- Accounts
- 264reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $95.0M managedreported
- Custody of client assets
- $27.0M for 69 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.89 fund_share=0.0 institutional_share=0.11 related_bd=true related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Samuel Castleman Harvey | Louisville, Ky | Nov 6, 2000 | 55 y | 0 |
| Joshua Stephen Jevne | Louisville, Ky | Mar 17, 2011 | 16 y | 0 |
| Samuel Hunter Noble | Louisville, Ky | Apr 24, 2013 | 13 y | 1 |
| Mary Linder Herrmann | Louisville, Ky | Jan 1, 2025 | 26 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- William Fox West to Robert W. Baird & Co. IncorporatedMar 15, 2024 · RIA to RIA
- Paul Harrison Stropkay to One Compass AdvisorsAug 29, 2008 · Other
Joined, latest
- William Fox West from J.J.B. Hilliard, W.L. Lyons, LLCApr 3, 2019 · Other
- Samuel Hunter Noble from J.J.B. Hilliard, W.L. Lyons, LLCApr 24, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Jeremy Daniel Berg · Secretary & Treasurercontrolsince 03/2019 · owns less than 5%
- Castleman Samuel Harvey · Presidentcontrolsince 10/2000 · owns less than 5%
- Johnston John Davis · Ownercontrolsince 04/2001 · owns 75% or more of Junior D, Inc.
- Castleman Samuel Harvey · Ownercontrolsince 04/2001 · owns 75% or more of Castleman Corporation
- Linder Mary Herrmann · Ownercontrolsince 04/2001 · owns 75% or more of Gracie Corp.
- Stephen Joshua Jevne · Ownercontrolsince 04/2013 · owns 75% or more of Jevne Corp.
- Hunter Samuel Noble · Ownercontrolsince 01/2023 · owns 75% or more of Mayweather Corp
- Thomas John Boyle · Principalsince 09/2021 · owns less than 5%
- Linder Mary Herrmann · Senior Vice Presidentsince 12/2011 · owns less than 5%
- Stephen Joshua Jevne · Senior Vice Presidentsince 10/2013 · owns less than 5%
- Hunter Samuel Noble · Senior Vice President, Chief Compliance Officersince 03/2015 · owns less than 5%
Entity owners
- Castleman Corporation · Ownerdirect · owns 10% to 25%
- Wt Acquisition, LLC · Ownerdirect · owns 50% to 75%
- Hightower Holding, LLC · Ownerindirect · owns 75% or more of Wt Acquisition, LLC
- Thl Ht Spv, L.P. · Ownerindirect · owns 50% to 75% of Hightower Holding, LLC
- Gracie Corp. · Ownerdirect · owns less than 5%
- Jevne Corp. · Ownerdirect · owns 5% to 10%
- Junior D, Inc. · Ownerdirect · owns 5% to 10%
- Mayweather Corp · Ownerdirect · owns less than 5%
Related persons
Schedule D 7.A
- Delta Asset Management, LLCinvestment advisernRAUM $1.5B
- Duncker Streett & Co.investment advisernRAUM $707M
- Grant Tani Barash & Altman, LLCinvestment advisernRAUM $2.3B
- Hightower Advisors, LLCinvestment advisernRAUM $199B
- Hightower Securities, LLCbroker-dealern
- Hightower Trust Services Ltan
- Kanawha Capital Management, LLCinvestment advisernRAUM $1.8B
- Madison Avenue Solutions, LLCinvestment advisernRAUM $2.1B
- The Rikoon Group, LLCinvestment advisernRAUM $72.2M
- Axiom Asset Managementinvestment advisernRAUM $900M
Advisers that list Harvey Investment Company, LLC as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Louisville, Ky · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Aug 4, 2026DAVIS, JOHN, JOHNSTON (OWNER) left Schedule A between the filings of 2023-03-21 and 2026-08-04peers: independent wealth managers, $1B to $5B (1,360)
What changed
consecutive filings, newest first
- Accounts · 256 to 264Mar 27, 2025 to Mar 23, 2026
- Charity clients · 7 to 8Mar 27, 2025 to Mar 23, 2026
- HNW clients · 161 to 163Mar 27, 2025 to Mar 23, 2026
- Assets in custody · $21.4M to $27.0MMar 27, 2025 to Mar 23, 2026
- Discretionary RAUM · $942M to $1.0BMar 27, 2025 to Mar 23, 2026
- HNW RAUM · $830M to $902MMar 27, 2025 to Mar 23, 2026
- Individual RAUM · $7.2M to $9.1MMar 27, 2025 to Mar 23, 2026
- RAUM · $942M to $1.0BMar 27, 2025 to Mar 23, 2026
- Wrap assets (manager) · $87.8M to $95.0MMar 27, 2025 to Mar 23, 2026
- Accounts · 264 to 256Mar 22, 2024 to Mar 27, 2025
- HNW clients · 167 to 161Mar 22, 2024 to Mar 27, 2025
- Individual clients · 14 to 13Mar 22, 2024 to Mar 27, 2025
- Assets in custody · $23.9M to $21.4MMar 22, 2024 to Mar 27, 2025
- Financial planning clients · 0 to 0Mar 22, 2024 to Mar 27, 2025
- Discretionary RAUM · $913M to $942MMar 22, 2024 to Mar 27, 2025
- HNW RAUM · $807M to $830MMar 22, 2024 to Mar 27, 2025
- Individual RAUM · $6.7M to $7.2MMar 22, 2024 to Mar 27, 2025
- RAUM · $913M to $942MMar 22, 2024 to Mar 27, 2025
- Related insurance company · false to trueMar 22, 2024 to Mar 27, 2025
- Wrap assets (manager) · $85.0M to $87.8MMar 22, 2024 to Mar 27, 2025
- Accounts · 265 to 264Mar 21, 2023 to Mar 22, 2024
- Advisory employees · 5 to 4Mar 21, 2023 to Mar 22, 2024
- Charity clients · 8 to 7Mar 21, 2023 to Mar 22, 2024
- Assets in custody · $21.9M to $23.9MMar 21, 2023 to Mar 22, 2024
- Employees · 5 to 4Mar 21, 2023 to Mar 22, 2024
- State-registered IARs · 5 to 4Mar 21, 2023 to Mar 22, 2024
- Discretionary RAUM · $856M to $913MMar 21, 2023 to Mar 22, 2024
- HNW RAUM · $780M to $807MMar 21, 2023 to Mar 22, 2024
- Individual RAUM · $5.2M to $6.7MMar 21, 2023 to Mar 22, 2024
- Non-discretionary RAUM · $12.9M to $0Mar 21, 2023 to Mar 22, 2024
- RAUM · $869M to $913MMar 21, 2023 to Mar 22, 2024
- Wrap assets (manager) · $79.6M to $85.0MMar 21, 2023 to Mar 22, 2024
- Accounts · 268 to 265Mar 16, 2022 to Mar 21, 2023
- HNW clients · 168 to 167Mar 16, 2022 to Mar 21, 2023
- Assets in custody · $28.3M to $21.9MMar 16, 2022 to Mar 21, 2023
- Discretionary RAUM · $965M to $856MMar 16, 2022 to Mar 21, 2023
- HNW RAUM · $879M to $780MMar 16, 2022 to Mar 21, 2023
- Individual RAUM · $5.8M to $5.2MMar 16, 2022 to Mar 21, 2023
- Non-discretionary RAUM · $14.0M to $12.9MMar 16, 2022 to Mar 21, 2023
- RAUM · $979M to $869MMar 16, 2022 to Mar 21, 2023
Signals
5 dated events
- William Fox West left Harvey Investment Company, Llc for Robert W. Baird & Co. Incorporated (registered 2024-04-11)Mar 15, 2024 · Advisor changed firm · fact
- Shannon Bultemeier (Evp And Treasurer) no longer on Schedule A of Harvey Investment Company, Llc (listed 2019-03-27, absent 2019-03-27)Mar 27, 2019 · Control person left · inference
- Jeremy Daniel Berg (Secretary & Treasurer) appeared on Schedule A of Harvey Investment Company, LlcMar 27, 2019 · Control person joined · fact
- Shannon Bultemeier (Evp And Treasurer) appeared on Schedule A of Harvey Investment Company, LlcMar 26, 2019 · Control person joined · fact
- Steven Robert Pagliuco (Evp And Treasurer) no longer on Schedule A of Harvey Investment Company, Llc (listed 2018-03-09, absent 2019-03-26)Mar 26, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- HARVEYINVESTMENT.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 502-339-8270reportedpublic record, Form ADV, Aug 4, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $257Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026