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 Strategies LLC
Latest filing Mar 31, 2025
First filing on the tape Mar 30, 2012 · 30 filings
SEC status approved since Feb 1, 2006
RAUM
$1.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
57
49 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$1.1M as of Mar 31, 2025
Mar 30, 2012$1.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2025
Mar 25, 20133 then
Employees (5.A)57 as of Mar 31, 2025
Mar 25, 201343 then
Private funds1 as of Mar 31, 2025
Mar 30, 201214 then
RAUM -100% over the last fiscal year-88% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2025; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -100%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, otherreportedItem 5.G
- Custody
- $1.1M, 1 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)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.1M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.1M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- 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
none on the tape
Joined, latest
none on the tape
Private funds
17 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Harvest Franchise Fund Master, LPno longer reported | Hedge Fund | $168M | 66 | Oct 10, 2012 |
| Harvest Intrexon Enterprise Fund I, L.P.no longer reported | Private Equity Fund | $70.8M | 134 | Mar 25, 2015 |
| Harvest Small Cap Partners Holdings, L.P.no longer reported | Hedge Fund | $68.9M | 39 | Mar 30, 2012 |
| Harvest Capital Credit LLCno longer reported | Other Private Fund | $62.9M | 41 | Mar 30, 2012 |
| Harvest Diversified Partners, L.P.no longer reported | Hedge Fund | $37.5M | 19 | Mar 30, 2012 |
| Vh Portfolio Ht LLCno longer reported | Hedge Fund | $36.2M | 4 | Mar 30, 2012 |
| Harvest Technology Partners Offshore, Ltd.no longer reported | Hedge Fund | $35.3M | 2 | Mar 30, 2012 |
| Harvest Technology Partners, L.P.no longer reported | Hedge Fund | $16.9M | 20 | Mar 30, 2012 |
| Harvest Intrexon Enterprise Fund I (Ai), LPno longer reported | Private Equity Fund | $4.3M | 24 | Oct 16, 2015 |
| Harvest Opportunity Partners Offshore Fund, Ltd.no longer reported | Hedge Fund | $2.3M | 1 | Mar 30, 2012 |
| Jmp Masters Fund, LP | Hedge Fund | $1.6M | 21 | Mar 30, 2012 |
| Hscp Strategic I, L.P.no longer reported | Hedge Fund | $0 | 0 | Mar 31, 2017 |
| Harvest Agriculture Select, L.Pno longer reported | Hedge Fund | $0 | 0 | Mar 30, 2012 |
| Harvest Agriculture Select Master, LPno longer reported | Hedge Fund | $0 | 0 | Mar 25, 2013 |
| Harvest Financial Partners, L.P.no longer reported | Hedge Fund | $0 | 0 | Mar 25, 2015 |
| Jmp Capital I LLCno longer reported | Private Equity Fund | $0 | 0 | Mar 28, 2018 |
| Harvest Opportunity Partners II, L.P.no longer reported | Hedge Fund | $0 | 0 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- Frederick John Carlin · Directorcontrolsince 01/2022 · owns less than 5%
- Siva Raymond Jackson · President And Chief Financial Officercontrolsince 07/2008 · owns less than 5%
- Ronli Allison Mcnamara · Chief Compliance Officercontrolsince 09/2022 · owns less than 5%
Entity owners
- Jmp Holding LLC · Managing Memberdirect · owns 75% or more
- Citizens Financial Group, Inc. · Sole Memberindirect · owns 75% or more of Citizens Jmp Group, LLC · public reporting company
- Citizens Jmp Group, LLC · Sole Shareholderindirect · owns 75% or more of Jmp Group Inc.
- Jmp Group Inc. · Sole Memberindirect · owns 75% or more of Jmp Holding LLC
Related persons
Schedule D 7.A
- Citizens Bank, Nan
- Citizens Investment Advisorsinvestment advisern
- Citizens Jmp Securities, LLCbroker-dealern
- Citizens Securities, Inc.broker-dealerinvestment advisernRAUM $13B
- Citizens Private Wealthinvestment advisernRAUM $17B
- Estate Preservation Services LLCreal estaten
- Harvest Enterprise Gp I, LLCpooled vehicle sponsory
- Harvest Growth Capital Manager LLCpooled vehicle sponsorn
Advisers that list Harvest Capital Strategies LLC as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 6 to 1Mar 26, 2024 to Mar 31, 2025
- Advisory employees · 56 to 49Mar 26, 2024 to Mar 31, 2025
- BD registered reps · 50 to 48Mar 26, 2024 to Mar 31, 2025
- Pooled vehicle clients · 6 to 1Mar 26, 2024 to Mar 31, 2025
- Assets in custody · $1.6M to $1.1MMar 26, 2024 to Mar 31, 2025
- Employees · 60 to 57Mar 26, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 26, 2024 to Mar 31, 2025
- Private funds · 7 to 1Mar 26, 2024 to Mar 31, 2025
- Discretionary RAUM · $366M to $1.1MMar 26, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $366M to $1.1MMar 26, 2024 to Mar 31, 2025
- RAUM · $366M to $1.1MMar 26, 2024 to Mar 31, 2025
- Assets in custody · $1.8M to $1.6MDec 8, 2023 to Mar 26, 2024
- Discretionary RAUM · $367M to $366MDec 8, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $367M to $366MDec 8, 2023 to Mar 26, 2024
- RAUM · $367M to $366MDec 8, 2023 to Mar 26, 2024
- Employees · 7 to 60Mar 31, 2023 to Dec 8, 2023
- Advisory employees · 2 to 56Mar 31, 2023 to Dec 8, 2023
- Advisory activities · 1 to 2Mar 31, 2023 to Dec 8, 2023
- BD registered reps · 2 to 50Mar 31, 2023 to Dec 8, 2023
- Accounts · 11 to 6Sep 1, 2022 to Mar 31, 2023
- Advisory employees · 4 to 2Sep 1, 2022 to Mar 31, 2023
- BD registered reps · 3 to 2Sep 1, 2022 to Mar 31, 2023
- Pooled vehicle clients · 11 to 6Sep 1, 2022 to Mar 31, 2023
- Assets in custody · $2.3M to $1.8MSep 1, 2022 to Mar 31, 2023
- Employees · 11 to 7Sep 1, 2022 to Mar 31, 2023
- Private funds · 11 to 7Sep 1, 2022 to Mar 31, 2023
- Discretionary RAUM · $548M to $367MSep 1, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $548M to $367MSep 1, 2022 to Mar 31, 2023
- RAUM · $548M to $367MSep 1, 2022 to Mar 31, 2023
- Private funds · 12 to 11Mar 30, 2022 to Sep 1, 2022
- Advisory employees · 8 to 4Dec 14, 2021 to Mar 30, 2022
- BD registered reps · 4 to 3Dec 14, 2021 to Mar 30, 2022
- Assets in custody · $1.9M to $2.3MDec 14, 2021 to Mar 30, 2022
- Employees · 13 to 11Dec 14, 2021 to Mar 30, 2022
- Private funds · 11 to 12Dec 14, 2021 to Mar 30, 2022
- Discretionary RAUM · $662M to $548MDec 14, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $662M to $548MDec 14, 2021 to Mar 30, 2022
- RAUM · $662M to $548MDec 14, 2021 to Mar 30, 2022
- Private funds · 13 to 11Mar 30, 2021 to Nov 2, 2021
- Accounts · 13 to 11Mar 27, 2020 to Mar 30, 2021
Signals
10 dated events
- Harvest Capital Strategies Llc no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $1.1M)Dec 20, 2025 · Left the SEC roster · derived
- Harvest Capital Strategies Llc reported RAUM $1.1M, down 100% from $365.9M (2024-03-26 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- Ivor Walter Conroy (Chief Legal Officer) no longer on Schedule A of Harvest Capital Strategies Llc (listed 2023-03-31, absent 2023-12-08)Dec 8, 2023 · Control person left · inference
- Harvest Capital Strategies Llc reported RAUM $366.9M, down 33% from $548.3M (2022-09-01 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- Seth Zachary Rosenberg (Chief Compliance Officer) no longer on Schedule A of Harvest Capital Strategies Llc (listed 2022-03-30, absent 2022-09-01)Sep 1, 2022 · Control person left · inference
- Ronli Allison Mcnamara (Chief Compliance Officer) appeared on Schedule A of Harvest Capital Strategies LlcSep 1, 2022 · Control person joined · fact
- Frederick John Carlin (Director) appeared on Schedule A of Harvest Capital Strategies LlcMar 30, 2022 · Control person joined · fact
- Andrew Joseph Jolson (Chief Executive Officer) no longer on Schedule A of Harvest Capital Strategies Llc (listed 2021-11-02, absent 2021-12-14)Dec 14, 2021 · Control person left · inference
- Christopher Kevin Lynch (President And Chief Operating Officer) no longer on Schedule A of Harvest Capital Strategies Llc (listed 2021-03-30, absent 2021-11-02)Nov 2, 2021 · Control person left · inference
- Harvest Capital Strategies Llc reported RAUM $499.0M, down 58% from $1.2B (2019-03-29 to 2019-05-30)May 30, 2019 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- Harvest Capital Strategies LLC · Private Equityshared crd · organization
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
Across the graphs
Harvest Capital Strategies LLC is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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