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.
Former SEC-registered adviser
Harvest Capital Advisors Inc.
Latest filing Mar 26, 2019
First filing on the tape Feb 6, 2012 · 22 filings
RAUM
$74.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$74.1M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$74.1M as of Mar 26, 2019
Apr 13, 2012$141M then
HNW client RAUM$33.1M as of Mar 26, 2019
Mar 20, 2018$87.0M then
State-registered IARs (5.B.3)1 as of Mar 26, 2019
Apr 1, 20130 then
Employees (5.A)2 as of Mar 26, 2019
Apr 1, 20138 then
Private funds: no history
RAUM -49% over the last fiscal year-22% a year over threeIARs 4 to 1
Practice profile
derived from the filing of Mar 26, 2019; every figure names its basis
- RAUM per advisor
- $74.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 147derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.4MderivedHNW RAUM over HNW clients
- Average account
- $189,016derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -49%derivedbetween the last two annual amendments
- Advisor growth, one year
- -75%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -42%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$41.0M55%
- High-net-worth individuals$33.1M45%
- Individual clients
- 124reported
- HNW clients
- 23reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 392reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- Jason Lee Tafoya to The H Group Washington, Inc.Jan 21, 2019 · RIA to a newly registered adviser
- Robert Edward Keilin to Signal Financial Planning, LLCMar 31, 2015 · Other
- Brian Douglas Gawthrop to Kaizen Financial Advisors, LLCOct 8, 2010 · Other
- Janet Harris Weisman to Robinswood FinancialOct 5, 2010 · Other
- Ellen Jean Webber to Ellen J Webber, CFPOct 9, 2008 · Other
- Brent Harvey Soloway to Msi Financial Services, Inc.Nov 9, 2007 · Other
Joined, latest
- Jason Lee Tafoya from Cs Planning CorpJan 21, 2019 · RIA to RIA
- Brian Douglas Gawthrop from American Pensions, Inc.May 24, 2010 · Other
- Brent Harvey Soloway from Pacific West Financial Consultants IncDec 15, 2004 · Other
- Ellen Jean Webber from Pacific West Financial Consultants IncDec 15, 2004 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Catherine Abbott · Chief Compliance Officercontrolsince 02/2019 · owns 50% to 75%
- Oakley Robert Abbott · Principalcontrolsince 03/2003 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 598 to 392Mar 16, 2019 to Mar 26, 2019
- Advisory employees · 6 to 2Mar 16, 2019 to Mar 26, 2019
- Business name · THE H GROUP WA to HARVEST CAPITAL ADVISORS INC.Mar 16, 2019 to Mar 26, 2019
- HNW clients · 70 to 23Mar 16, 2019 to Mar 26, 2019
- Individual clients · 182 to 124Mar 16, 2019 to Mar 26, 2019
- Employees · 6 to 2Mar 16, 2019 to Mar 26, 2019
- State-registered IARs · 4 to 1Mar 16, 2019 to Mar 26, 2019
- Legal name · THE H GROUP WA to HARVEST CAPITAL ADVISORS INC.Mar 16, 2019 to Mar 26, 2019
- Discretionary RAUM · $144M to $74.1MMar 16, 2019 to Mar 26, 2019
- HNW RAUM · $87.0M to $33.1MMar 16, 2019 to Mar 26, 2019
- Individual RAUM · $57.4M to $41.0MMar 16, 2019 to Mar 26, 2019
- RAUM · $144M to $74.1MMar 16, 2019 to Mar 26, 2019
- Related adviser · false to trueMar 16, 2019 to Mar 26, 2019
- Business name · HARVEST CAPITAL ADVISORS INC. to THE H GROUP WAJan 22, 2019 to Mar 16, 2019
- Legal name · HARVEST CAPITAL ADVISORS INC. to THE H GROUP WAJan 22, 2019 to Mar 16, 2019
- Accounts · 627 to 598Sep 11, 2017 to Mar 20, 2018
- Advisory employees · 4 to 6Sep 11, 2017 to Mar 20, 2018
- HNW clients · unset to 70.0Sep 11, 2017 to Mar 20, 2018
- Individual clients · unset to 182.0Sep 11, 2017 to Mar 20, 2018
- Employees · 7 to 6Sep 11, 2017 to Mar 20, 2018
- Financial planning clients · 51-100 to 11-25Sep 11, 2017 to Mar 20, 2018
- Other offices · unset to 0.0Sep 11, 2017 to Mar 20, 2018
- Discretionary RAUM · $155M to $144MSep 11, 2017 to Mar 20, 2018
- HNW RAUM · unset to 87047193.0Sep 11, 2017 to Mar 20, 2018
- Individual RAUM · unset to 57389546.0Sep 11, 2017 to Mar 20, 2018
- RAUM · $155M to $144MSep 11, 2017 to Mar 20, 2018
- Accounts · 612 to 627Mar 31, 2017 to Sep 11, 2017
- Discretionary RAUM · $0 to $155MMar 31, 2017 to Sep 11, 2017
- Non-discretionary RAUM · $159M to $0Mar 31, 2017 to Sep 11, 2017
- RAUM · $159M to $155MMar 31, 2017 to Sep 11, 2017
- Accounts · 665 to 612Nov 28, 2016 to Mar 31, 2017
- Financial planning clients · 26-50 to 51-100Nov 28, 2016 to Mar 31, 2017
- State-registered IARs · 3 to 4Nov 28, 2016 to Mar 31, 2017
- Non-discretionary RAUM · $157M to $159MNov 28, 2016 to Mar 31, 2017
- RAUM · $157M to $159MNov 28, 2016 to Mar 31, 2017
- Accounts · 698 to 665Sep 9, 2015 to Mar 22, 2016
- Employees · 6 to 7Sep 9, 2015 to Mar 22, 2016
- State-registered IARs · 2 to 3Sep 9, 2015 to Mar 22, 2016
- Discretionary RAUM · $167M to $0Sep 9, 2015 to Mar 22, 2016
- Non-discretionary RAUM · $3.0M to $157MSep 9, 2015 to Mar 22, 2016
Signals
3 dated events
- Ann Lynette Johnson (Principal & Director) no longer on Schedule A of Harvest Capital Advisors Inc. (listed 2019-01-22, absent 2019-03-16)Mar 16, 2019 · Control person left · inference
- Stephanie Pitts (Chief Compliance Officer) no longer on Schedule A of Harvest Capital Advisors Inc. (listed 2019-01-22, absent 2019-03-16)Mar 16, 2019 · Control person left · inference
- Catherine Abbott (Chief Compliance Officer) appeared on Schedule A of Harvest Capital Advisors Inc.Mar 16, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026