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.
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SEC-registered adviser
H•••••• C•••••• A•••••• L••
Latest filing Mar 10, 2026
First filing on the tape May 13, 2021 · 13 filings
SEC status approved since Jun 17, 2021
RAUM
$72.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$71.7M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$24.0M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$72.0M as of Mar 10, 2026
Mar 16, 2022$54.9M then
HNW client RAUM$45.0M as of Mar 10, 2026
Mar 16, 2022$20.5M then
State-registered IARs (5.B.3)3 as of Mar 10, 2026
Mar 16, 20223 then
Employees (5.A)3 as of Mar 10, 2026
Mar 16, 20223 then
Private funds: no history
RAUM +7.5% over the last fiscal year+11% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 10, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $24.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 82derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.0MderivedHNW RAUM over HNW clients
- Average account
- $236,066derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.6%derived
- Compensation
- percentage of assets, otherreportedItem 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)
- compensates persons for client referrals (8.G.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$45.0M63%
- Individuals$26.7M37%
- Pension and profit-sharing plans$300,0000.4%
- Individual clients
- 237reported
- HNW clients
- 9reported
- Pension plan clients
- 1reported
- Charitable clients
- 0reported
- Accounts
- 305reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•••••••• L• S••••• | Sanborn, Ny | Aug 12, 2021 | 19 y | 3 |
| J•••• K••• H••••• | Sanborn, Ny | Aug 12, 2021 | 19 y | 2 |
| D•••• A••••• C••••••• | Sanborn, Ny | Aug 12, 2021 | 11 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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- A•••••••• L• S••••• from B•• P•••••••• I•••Aug 12, 2021 · Other
- J•••• K••• H••••• from W•••• F•••• A•••••••Aug 12, 2021 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••• A••••••••• L• · Managing Membercontrolsince 08/2010 · owns 75% or more
- C•••••••• D••••• A••••• · Chief Compliance Officersince 01/2021 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Sanborn, Ny | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Murrells Inlet, SC1 employees
What changed
consecutive filings, newest first
- Accounts · 301 to 305Dec 24, 2025 to Mar 10, 2026
- Individual clients · 224 to 237Dec 24, 2025 to Mar 10, 2026
- Pension plan clients · 0 to 1Dec 24, 2025 to Mar 10, 2026
- Financial planning clients · 0 to 1-10Dec 24, 2025 to Mar 10, 2026
- Discretionary RAUM · $67.0M to $72.0MDec 24, 2025 to Mar 10, 2026
- HNW RAUM · $34.0M to $45.0MDec 24, 2025 to Mar 10, 2026
- Individual RAUM · $33.0M to $26.7MDec 24, 2025 to Mar 10, 2026
- Pension RAUM · $0 to $300,000Dec 24, 2025 to Mar 10, 2026
- RAUM · $67.0M to $72.0MDec 24, 2025 to Mar 10, 2026
- Accounts · 294 to 301Oct 7, 2024 to Mar 10, 2025
- Advisory activities · 1 to 2Oct 7, 2024 to Mar 10, 2025
- HNW clients · 6 to 9Oct 7, 2024 to Mar 10, 2025
- Individual clients · 210 to 224Oct 7, 2024 to Mar 10, 2025
- Financial planning clients · unset to 0Oct 7, 2024 to Mar 10, 2025
- HQ city · unset to Oct 7, 2024 to Mar 10, 2025
- HQ state · unset to Oct 7, 2024 to Mar 10, 2025
- Discretionary RAUM · $58.0M to $67.0MOct 7, 2024 to Mar 10, 2025
- HNW RAUM · $30.0M to $34.0MOct 7, 2024 to Mar 10, 2025
- Individual RAUM · $28.0M to $33.0MOct 7, 2024 to Mar 10, 2025
- RAUM · $58.0M to $67.0MOct 7, 2024 to Mar 10, 2025
- HQ city · EAST AMHERST to SANBORNMar 7, 2024 to Oct 7, 2024
- HQ city · SANBORN to unsetOct 7, 2024 to Oct 7, 2024
- HQ state · NY to unsetOct 7, 2024 to Oct 7, 2024
- Accounts · 302 to 294Mar 27, 2023 to Mar 7, 2024
- Individual clients · 184 to 210Mar 27, 2023 to Mar 7, 2024
- Discretionary RAUM · $52.0M to $58.0MMar 27, 2023 to Mar 7, 2024
- HNW RAUM · $26.0M to $30.0MMar 27, 2023 to Mar 7, 2024
- Individual RAUM · $26.0M to $28.0MMar 27, 2023 to Mar 7, 2024
- RAUM · $52.0M to $58.0MMar 27, 2023 to Mar 7, 2024
- Accounts · 322 to 302Mar 16, 2022 to Mar 6, 2023
- HNW clients · 1 to 6Mar 16, 2022 to Mar 6, 2023
- Individual clients · 204 to 184Mar 16, 2022 to Mar 6, 2023
- Financial planning clients · 1-10 to unsetMar 16, 2022 to Mar 6, 2023
- Discretionary RAUM · $54.9M to $52.0MMar 16, 2022 to Mar 6, 2023
- HNW RAUM · $20.5M to $26.0MMar 16, 2022 to Mar 6, 2023
- Individual RAUM · $34.4M to $26.0MMar 16, 2022 to Mar 6, 2023
- RAUM · $54.9M to $52.0MMar 16, 2022 to Mar 6, 2023
- Accounts · 338 to 322Nov 24, 2021 to Mar 16, 2022
- HNW clients · 2 to 1Nov 24, 2021 to Mar 16, 2022
- Individual clients · 173 to 204Nov 24, 2021 to Mar 16, 2022
Signals
1 dated events
- H•••••• C•••••• A•••••• L•• filed its initial SEC registration (Form ADV)May 13, 2021 · First SEC registration · fact
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
- Business phone
- 716-597-8372reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 716-946-7525reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 716-997-2005reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- harvestcapitalassets.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (716)-597-8372reportedpublic record, Form ADV, Mar 10, 2026
- Contact form
- harvestcapitalassets.com/contact-1reportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- harvestcapitalassets.com/meet-the-team-1reportedpublished by the firm, firm site, Sep 16, 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
- $24.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026