HARVEY INVESTMENT COMPANY, LLC
Adviser information for HARVEY INVESTMENT COMPANY, LLC last updated from Form ADV on March 22nd, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 4 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 264 | $913.3M |
| Non-Discretionary | 0 | $0 |
| Total | 264 | $913.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 14 | $6.7M |
| HNW Individuals | 167 | $807.2M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 7 | $96.5M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $2.8M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 2 |
| No. of Non-U.S. Clients | 1 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMFixed fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 85.0M |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| OUTSIDE MANAGER ADVISORY | RAYMOND JAMES & ASSOCIATES, INC. |
Identifiers
| SEC RIA File Number | 801-58031 |
|---|---|
| SEC ERA File Number | 801-58031 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 110482 |
| Legal Entity Identifier | None |
Principal Office
297 NORTH HUBBARDS LANESUITE 102
LOUISVILLE
KY
United States
Monday - Friday, 8:30 AM TO 5:00 PM
Tel: 502-339-8270, Fax: 502-339-9617
Websites
Chief Compliance Officer
S. HUNTER NOBLE
SENIOR VICE PRESIDENT
297 NORTH HUBBARDS LANE
SUITE 102
LOUISVILLE
KY
United States
Tel:
(502) 339-8270
Fax:
(502) 339-9617
H*****@*******************M
(Full email address available in API data)
Regulatory Contact
SAMUEL C. HARVEY
PRESIDENT
297 NORTH HUBBARDS LANE
SUITE 102
LOUISVILLE
KY
United States
Tel:
(502) 339-8270
Fax:
(502) 339-9617
S**@*******************M
(Full email address available in API data)
Industry Affiliates
| AXIOM ASSET MANAGEMENT | Other investment adviser, including financial planners |
| DELTA ASSET MANAGEMENT, LLC | Other investment adviser, including financial planners |
| DUNCKER STREETT & CO. | Other investment adviser, including financial planners |
| GRANT TANI BARASH & ALTMAN, LLC | Other investment adviser, including financial planners |
| HIGHTOWER ADVISORS, LLC | Other investment adviser, including financial planners |
| HIGHTOWER SECURITIES, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| HIGHTOWER TRUST COMPANY N.A. | Trust company |
| KANAWHA CAPITAL MANAGEMENT, LLC | Other investment adviser, including financial planners |
| MADISON AVENUE SOLUTIONS, LLC | Other investment adviser, including financial planners |
| THE RIKOON GROUP, LLC | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| HARVEY, SAMUEL, CASTLEMAN | Individual | – | PRESIDENT | 10/2000 | < 5% |
| CASTLEMAN CORPORATION | Domestic Entity | – | OWNER | 04/2001 | 10-25% |
| JUNIOR D, INC. | Domestic Entity | – | OWNER | 04/2001 | 5-10% |
| GRACIE CORP. | Domestic Entity | – | OWNER | 04/2001 | < 5% |
| HERRMANN, MARY, LINDER | Individual | – | SENIOR VICE PRESIDENT | 12/2011 | < 5% |
| HARVEY, SAMUEL, CASTLEMAN | Individual | CASTLEMAN CORPORATION | OWNER | 04/2001 | > 75% |
| DAVIS, JOHN, JOHNSTON | Individual | JUNIOR D, INC. | OWNER | 04/2001 | > 75% |
| HERRMANN, MARY, LINDER | Individual | GRACIE CORP. | OWNER | 04/2001 | > 75% |
| JEVNE CORP. | Domestic Entity | – | OWNER | 04/2013 | < 5% |
| JEVNE, JOSHUA, STEPHEN | Individual | JEVNE CORP. | OWNER | 04/2013 | > 75% |
| JEVNE, JOSHUA, STEPHEN | Individual | – | SENIOR VICE PRESIDENT | 10/2013 | < 5% |
| NOBLE, SAMUEL, HUNTER | Individual | – | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 03/2015 | < 5% |
| WT ACQUISITION, LLC | Domestic Entity | – | OWNER | 05/2017 | 50-75% |
| HIGHTOWER HOLDING, LLC | Domestic Entity | WT ACQUISITION, LLC | OWNER | 05/2017 | > 75% |
| THL HT SPV, L.P. | Domestic Entity | HIGHTOWER HOLDING, LLC | OWNER | 12/2020 | 50-75% |
| BERG, DANIEL, JEREMY | Individual | – | SECRETARY & TREASURER | 03/2019 | < 5% |
| BOYLE, JOHN, THOMAS | Individual | – | PRINCIPAL | 09/2021 | < 5% |
| MAYWEATHER CORP | Domestic Entity | – | OWNER | 01/2023 | < 5% |
| NOBLE, SAMUEL, HUNTER | Individual | MAYWEATHER CORP | OWNER | 01/2023 | > 75% |