Hedge Fund Database

HARVEST VOLATILITY MANAGEMENT, LLC

Adviser information for HARVEST VOLATILITY MANAGEMENT, 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 5
Investment Advisory/Research 5
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 0
Licensed Agents of an Insurance Company 0
No. of Firms/People that Solicit Clients 5

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 64 $216.6M
Non-Discretionary 0 $0
Total 64 $216.6M

Clients

Type Number RAUM
Individuals 0 $0
HNW Individuals 61 $195.7M
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 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 <5 $20.9M
Other 0 $0
Type Number
No. of Non-RAUM Clients 69
No. of Non-U.S. Clients 2

Services

Advisory Services Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients
Compensation % of AUMPerformance-based feesREVENUE SHARE WITH ANOTHER INVESTMENT ADVISER

Wrap Fee Program

Offers Wrap Fee Program Yes
Acting As RAUM
Sponsor 0
Portfolio Manager 27.0M
Both for Same 0
Portfolio Manager to Program Sponsor
CRESCENT GROVE CRESCENT GROVE ADVISORS
UBS SECURITIES LLC UBS SECURITIES LLC

Identifiers

SEC RIA File Number 801-69037
SEC ERA File Number 801-69037
SEC CIK Numbers 1455530
SEC CRD Numbers 146869
Legal Entity Identifier 549300FVCLBSFKCBZR30

Principal Office

101 MERRITT 7 CORPORATE PARK
3RD FLOOR
NORWALK
CT
United States
Monday - Friday, 08:30 - 17:00
Tel: 203-307-0600, Fax: 203-302-9842

Websites

www.harvestvolatilitymanagement.com www.hv-advisors.com www.hvm.com www.linkedin.com/company/harvest-volatility-management-llc/ www.harvestvolmgt.com

Chief Compliance Officer

PATRICK JOSEPH ("JOE") CLOUGH
CHIEF FINANCIAL OFFICER, CHIEF OPERATING OFFICER
101 MERRITT 7 CORPORATE PARK
3RD FLOOR
NORWALK
CT
United States
Tel: 646-843-4803
(Full email address available in API data)

Regulatory Contact

RICHARD SELVALA
MANAGING MEMBER
101 MERRITT 7 CORPORATE PARK
3RD FLOOR
NORWALK
CT
United States
Tel: 646-843-4801
(Full email address available in API data)

Industry Affiliates

INTERSECT CAPITAL MANAGEMENT LLC Other investment adviser, including financial planners
VISDOM INVESTMENT 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
BROCKELMAN, CURTIS, FRANCIS Individual – MANAGING MEMBER 03/2008 < 5%
SELVALA, RICHARD, LEE Individual – CHIEF EXECUTIVE OFFICER, MANAGING MEMBER 06/2008 50-75%
CLOUGH, PATRICK, JOSEPH Individual – CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER, CHIEF OPERATING OFFICER 03/2015 < 5%
PERCH BAY GROUP LLC Domestic Entity – MEMBER 04/2013 10-25%
ALISA BROCKELMAN 2012 FAMILY TRUST Domestic Entity – MEMBER 12/2012 25-50%
BROCKELMAN, CURTIS, FRANCIS Individual PERCH BAY GROUP LLC MANAGING MEMBER 07/2003 > 75%
GUREN, ADAM, MICHAEL Individual ALISA BROCKELMAN 2012 FAMILY TRUST TRUSTEE 12/2012

No. Employees, Historic

30150201920202021202220232024202519 on 8/12/201926 on 3/24/202026 on 6/1/202026 on 6/22/202020 on 3/30/202120 on 3/31/202120 on 7/1/202120 on 1/7/202211 on 3/21/202211 on 4/27/202211 on 10/11/202213 on 3/23/20235 on 3/22/2024

RAUM, Historic

20B10B0201920202021202220232024202510513320956 on 8/12/20194759948403 on 3/24/20204759948403 on 6/1/20204759948403 on 6/22/20203695249583 on 3/30/20213695249583 on 3/31/20213695249583 on 7/1/20213695249583 on 1/7/20224979368548 on 3/21/20224979368548 on 4/27/20224979368548 on 10/11/20221938505126 on 3/23/2023216622498 on 3/22/2024

No. Clients, Historic

2,0001,000020192020202120222023202420251184 on 8/12/2019498 on 3/24/2020498 on 6/1/2020498 on 6/22/2020240 on 3/30/2021240 on 3/31/2021240 on 7/1/2021240 on 1/7/2022166 on 3/21/2022166 on 4/27/2022166 on 10/11/2022132 on 3/23/202361 on 3/22/2024

Holdings

From latest 13F, filed August 14th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ISHARES TR PFD AND INCM SEC 610K 19K –
SPDR SER TR BLOOMBERG HIGH Y 652K 7K –
SSGA ACTIVE ETF TR SPDR TR TACTIC 605K 15K –
VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 710K 9K –
VANGUARD WHITEHALL FDS HIGH DIV YLD 1M 9K –
VANGUARD WHITEHALL FDS EM MK GOV BD ETF 561K 9K –