Hedge Fund Database

HARVEST CAPITAL STRATEGIES LLC

Adviser information for HARVEST CAPITAL STRATEGIES LLC last updated from Form ADV on March 26th, 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 60
Investment Advisory/Research 56
Registered Broker-Dealer Representatives 50
Registered State Investment Advisers 0
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 6 $365.9M
Non-Discretionary 0 $0
Total 6 $365.9M

Clients

Type Number RAUM
Individuals 0 $0
HNW Individuals 0 $0
Banking or thrift institutions 0 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 6 $365.9M
Pension and profit sharing plans 0 $0
Charitable organizations 0 $0
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 0 $0
Other 0 $0
Type Number
No. of Non-RAUM Clients 5
No. of Non-U.S. Clients 0

Services

Advisory Services Portfolio management for pooled investment vehiclesEQUITY RESEARCH SERVICES DESCRIBED IN THE BROCHURE
Compensation % of AUMPerformance-based feesPAYMENT FOR RESEARCH SERVICES

Identifiers

SEC RIA File Number 801-66003
SEC ERA File Number 801-66003
SEC CIK Numbers 1226355
SEC CRD Numbers 130037
Legal Entity Identifier 254900C7KXSNR8DPJ133

Principal Office

600 MONTGOMERY STREET
SUITE 1100
SAN FRANCISCO
CA
United States
Monday - Friday, 6:30 A.M. - 4:00 P.M.
Tel: (415) 835-3900, Fax: None

Websites

www.linkedin.com/company/harvest-capital-strategies www.harvestgrowthcapital.com/

Chief Compliance Officer

ALLISON MCNAMARA
600 MONTGOMERY STREET
SUITE 1100
SAN FRANCISCO
CA
United States
Tel: 781-901-0849
(Full email address available in API data)

Industry Affiliates

CITIZENS BANK Banking or thrift institution
CITIZENS INVESTMENT ADVISORS Other investment adviser, including financial planners
CITIZENS JMP SECURITIES, LLC Broker-dealer, municipal securities dealer, or gov securities broker or dealer
CITIZENS SECURITIES, INC. Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners
CLARFELD Other investment adviser, including financial planners
ESTATE PRESERVATION SERVICES LLC Insurance company or agency
HARVEST ENTERPRISE GP I, LLC Sponsor, GP, manager of pooled investment vehicles
HARVEST GROWTH CAPITAL MANAGER LLC Sponsor, GP, manager of pooled investment vehicles

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
HARVEST CLARO, LLC Private Equity Fund $84.0M $0.3M 85
HARVEST GROWTH CAPITAL II LLC Private Equity Fund $26.9M $0.3M 100
HARVEST GROWTH CAPITAL III LLC Private Equity Fund $67.3M $0.1M 99
HARVEST GROWTH CAPITAL IV QP, LLC Private Equity Fund $142.1M $0.1M 129
HARVEST GROWTH CAPITAL IV, LLC Private Equity Fund $32.6M $0.1M 79
HARVEST GROWTH CAPITAL LLC Private Equity Fund $11.5M $0.3M 66
JMP MASTERS FUND, LP Hedge Fund $1.6M $1.0M 21

Control Persons

Name Type Entity Title Since Ownership
JMP HOLDING LLC Domestic Entity – MANAGING MEMBER 09/1999 > 75%
JMP GROUP INC. Domestic Entity JMP HOLDING LLC SOLE MEMBER 05/2007 > 75%
JACKSON, RAYMOND, SIVA Individual – PRESIDENT AND CHIEF FINANCIAL OFFICER 07/2008 < 5%
CITIZENS JMP GROUP, LLC Domestic Entity JMP GROUP INC. SOLE SHAREHOLDER 01/2015 > 75%
CITIZENS FINANCIAL GROUP, INC. Domestic Entity CITIZENS JMP GROUP, LLC SOLE MEMBER 11/2021 > 75%
CARLIN, JOHN, FREDERICK Individual – DIRECTOR 01/2022 < 5%
McNamara, Allison, Ronli Individual – CHIEF COMPLIANCE OFFICER 09/2022 < 5%

No. Employees, Historic

60300201920202021202220232024202515 on 5/30/201915 on 7/26/201915 on 3/27/202013 on 3/30/202113 on 11/2/202113 on 12/14/202111 on 3/30/202211 on 9/1/20227 on 3/31/202360 on 12/8/202360 on 3/26/2024

RAUM, Historic

700M350M02019202020212022202320242025498982006 on 5/30/2019498982006 on 7/26/2019569551005 on 3/27/2020661951439 on 3/30/2021661951439 on 11/2/2021661951439 on 12/14/2021548310501 on 3/30/2022548310501 on 9/1/2022366944711 on 3/31/2023366944711 on 12/8/2023365859659 on 3/26/2024

No. Clients, Historic

20100201920202021202220232024202512 on 5/30/201912 on 7/26/201914 on 3/27/202011 on 3/30/202111 on 11/2/202111 on 12/14/202111 on 3/30/202211 on 9/1/20226 on 3/31/20236 on 12/8/20236 on 3/26/2024

Holdings

From latest 13F, filed November 14th, 2019 for period ending September 30th, 2019
Name Class Value $USD # Shares Private Fund
BJS RESTAURANTS INC COM 2K 57K –
BRINKER INTL INC COM 4K 85K –
BUNGE LIMITED COM 3K 55K –
CALAVO GROWERS INC COM 1K 15K –
COMPASS MINERALS INTL INC COM 5K 85K –
DEERE & CO COM 5K 28K –
DOLLAR TREE INC COM 3K 25K –
ELANCO ANIMAL HEALTH INC COM 3K 105K –
FRESHPET INC COM 1K 21K –
GENERAL MLS INC COM 4K 80K –
GREEN PLAINS PARTNERS LP COM REP PTR IN 2K 118K –
MOSAIC CO NEW COM 3K 127K –
NUTRIEN LTD COM 4K 80K –
ORAGENICS INC COM 720 1M –
PETIQ INC COM CL A 3K 110K –
PILGRIMS PRIDE CORP NEW COM 4K 115K –
POST HLDGS INC COM 4K 35K –
STARBUCKS CORP COM 5K 52K –
TITAN MACHY INC COM 1K 102K –
TRACTOR SUPPLY CO COM 4K 42K –
TRIMBLE INC COM 4K 100K –
TYSON FOODS INC CL A 5K 57K –
ZOETIS INC CL A 5K 38K –