Hedge Fund Database

HARVEST INVESTMENT SERVICES, LLC

Adviser information for HARVEST INVESTMENT SERVICES, LLC last updated from Form ADV on March 14th, 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 Illinois, United States

Employees

Total Number of Employees 28
Investment Advisory/Research 21
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 21
Licensed Agents of an Insurance Company 19
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 2,862 $281.7M
Non-Discretionary 0 $0
Total 2,862 $281.7M

Clients

Type Number RAUM
Individuals 1,102 $140.9M
HNW Individuals 93 $140.8M
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 0 $0
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 11-25

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)
Compensation % of AUMHourly chargesFixed fees

Wrap Fee Program

Offers Wrap Fee Program Yes
Acting As RAUM
Sponsor 0
Portfolio Manager 0
Both for Same 198.4M
Portfolio Manager to Program Sponsor
ALPHA SOLUTIONS HARVEST INVESTMENT SERVICES, LLC

Identifiers

SEC RIA File Number 801-79232
SEC ERA File Number 801-79232
SEC CIK Numbers 1591097
SEC CRD Numbers 159390
Legal Entity Identifier None

Principal Office

1 TRANSAM PLAZA DRIVE
SUITE 230
OAKBROOK TERRACE
IL
United States
Monday - Friday, BY APPOINTMENT ONLY
Tel: (630) 613-9230, Fax: (630) 613-9126

Websites

www.401kactivewatch.com www.harvestinvestmentservices.com www.linkedin.com/company/harvest-investment-services-llc/ www.facebook.com/harvestinvestmentservices/

Chief Compliance Officer

SCOTT BRADTMILLER
1 TRANSAM PLAZA DRIVE
SUITE 230
OAKBROOK TERRACE
IL
United States
Tel: (630) 613-9230
(Full email address available in API data)

Regulatory Contact

TIMOTHY J. NEWELL
MANAGING DIRECTOR
1 TRANSAM PLAZA DRIVE
SUITE 230
OAKBROOK TERRACE
IL
United States
Tel: (630) 613-9230
Fax: (630) 613-9126
(Full email address available in API data)

Industry Affiliates

ENVOY ADVISORY INC. Other investment adviser, including financial planners
HARVEST FINANCIAL PLANNING, LLC Accountant or accounting firm
HARVESTING KINGDOM RESOURCES, LLC Sponsor, GP, manager of pooled investment vehicles

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
NEWELL, TIMOTHY, JOHN Individual – PRESIDENT/CEO 10/2011 < 5%
ALYO, JOHN, K Individual – CIO 10/2011 10-25%
HARVEST FINANCIAL PLANNING, LLC Domestic Entity – OWNER 10/2011 50-75%
NEWELL, TIMOTHY, JOHN Individual HARVEST FINANCIAL PLANNING, LLC OWNER 10/2011 50-75%
BRADTMILLER, SCOTT, ALLEN Individual – CHIEF COMPLIANCE OFFICER 02/2024 < 5%

No. Employees, Historic

30150201920202021202220232024202528 on 7/18/201928 on 3/5/202027 on 5/14/202027 on 7/29/202027 on 7/31/202027 on 12/7/202027 on 12/7/202021 on 3/31/202121 on 4/13/202122 on 3/31/202222 on 9/1/202222 on 2/3/202329 on 3/30/202329 on 5/9/202329 on 7/10/202329 on 7/10/202329 on 8/10/202329 on 8/18/202328 on 3/14/2024

RAUM, Historic

300M150M02019202020212022202320242025240895741 on 7/18/2019240895741 on 3/5/2020277093243 on 5/14/2020277093243 on 7/29/2020277093243 on 7/31/2020277093243 on 12/7/2020277093243 on 12/7/2020265576404 on 3/31/2021265576404 on 4/13/2021291831278 on 3/31/2022291831278 on 9/1/2022291831278 on 2/3/2023254263047 on 3/30/2023254263047 on 5/9/2023254263047 on 7/10/2023254263047 on 7/10/2023254263047 on 8/10/2023254263047 on 8/18/2023281661252 on 3/14/2024

No. Clients, Historic

2,0001,00002019202020212022202320242025911 on 7/18/2019911 on 3/5/2020863 on 5/14/2020863 on 7/29/2020863 on 7/31/2020863 on 12/7/2020863 on 12/7/2020830 on 3/31/2021830 on 4/13/2021845 on 3/31/2022845 on 9/1/2022845 on 2/3/2023836 on 3/30/2023836 on 5/9/2023836 on 7/10/2023836 on 7/10/2023836 on 8/10/2023836 on 8/18/20231195 on 3/14/2024

Holdings

From latest 13F, filed August 13th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ABBOTT LABS COM 739K 7K –
ABBVIE INC COM 880K 5K –
ACCENTURE PLC IRELAND SHS CLASS A 432K 1K –
ADVANCED MICRO DEVICES INC COM 7M 41K –
AFFIRM HLDGS INC COM CL A 821K 27K –
ALCOA CORP COM 1M 26K –
ALPHABET INC CAP STK CL C 607K 3K –
ALPHABET INC CAP STK CL A 236K 1K –
AMAZON COM INC COM 522K 3K –
APPLE INC COM 3M 12K –
APPLIED INDL TECHNOLOGIES IN COM 578K 3K –
APPLOVIN CORP COM CL A 4M 47K –
ARCHROCK INC COM 400K 20K –
ARRAY TECHNOLOGIES INC COM SHS 327K 32K –
ASPEN AEROGELS INC COM 654K 27K –
ASURE SOFTWARE INC COM 180K 21K –
AVIDITY BIOSCIENCES INC COM 370K 9K –
BERKSHIRE HATHAWAY INC DEL CL B NEW 501K 1K –
BROADCOM INC COM 5M 3K –
CABALETTA BIO INC COM 119K 16K –
CARPENTER TECHNOLOGY CORP COM 769K 7K –
CARVANA CO CL A 466K 4K –
CATERPILLAR INC COM 372K 1K –
CBIZ INC COM 482K 6K –
CENOVUS ENERGY INC COM 401K 20K –
CHEVRON CORP NEW COM 416K 3K –
CHIPOTLE MEXICAN GRILL INC COM 298K 5K –
CLEANSPARK INC COM NEW 740K 46K –
CLOUDFLARE INC CL A COM 1M 14K –
COCA COLA CONS INC COM 1M 1K –
COMFORT SYS USA INC COM 321K 1K –
CONSTELLATION ENERGY CORP COM 794K 4K –
COSTCO WHSL CORP NEW COM 4M 4K –
CROWDSTRIKE HLDGS INC CL A 3M 9K –
D R HORTON INC COM 355K 3K –
DECKERS OUTDOOR CORP COM 4M 5K –
DISC MEDICINE INC COM 803K 18K –
DORIAN LPG LTD SHS USD 1M 34K –
ECHOSTAR CORP CL A 484K 27K –
ECOLAB INC COM 775K 3K –
ELI LILLY & CO COM 3M 3K –
EVERQUOTE INC COM CL A 312K 15K –
EVOLV TECHNOLOGIES HLDNGS IN COM CL A 87K 34K –
EXXON MOBIL CORP COM 220K 2K –
FAIR ISAAC CORP COM 329K 221 –
FIRST TR EXCH TRADED FD III PFD SECS INC ETF 1M 69K –
FIRST TR EXCH TRADED FD III LNG/SHT EQUITY 674K 11K –
FIRST TR EXCHANGE TRADED FD DJ GLBL DIVID 2M 79K –
FIRST TR EXCHANGE-TRADED FD SENIOR LN FD 2M 44K –
FIRST TR EXCHANGE-TRADED FD FIRST TR ENH NEW 28M 478K –
FIRST TR EXCHANGE-TRADED FD FST LOW OPPT EFT 759K 16K –
FIRST TR EXCHANGE-TRADED FD RISNG DIVD ACHIV 3M 62K –
FIRST TR EXCHANGE-TRADED FD FT VEST S&P 500 368K 7K –
FIRST TR EXCHANGE-TRADED FD NASDQ SEMCNDTR 266K 3K –
FIRST TR EXCHANGE-TRADED FD MULTI ASSET DI 2M 115K –
FIRST TR EXCHANGE-TRADED FD DJ INTERNT IDX 444K 2K –
FIRST TR EXCHANGE-TRADED FD FIRST TR TA HIYL 1M 30K –
FIRST TR EXCHANGE-TRADED FD NASD TECH DIV 4M 47K –
FIRST TR EXCHANGE-TRADED FD SMID RISNG ETF 2M 63K –
FIRST TR EXCHNG TRADED FD VI FT VEST NAS 470K 18K –
FIRST TR EXCHNG TRADED FD VI FT VEST US EQT 789K 19K –
FIRST TR EXCHNG TRADED FD VI FT VEST U.S EQT 204K 6K –
FIRST TR EXCHNG TRADED FD VI FT VEST US EQT 406K 9K –
FIRST TR EXCHNG TRADED FD VI FT VEST NAS 358K 14K –
FIRST TR EXCHNG TRADED FD VI FT VEST US EQT 636K 14K –
FIRST TR EXCHNG TRADED FD VI FT VEST LADDERED 891K 31K –
FIRST TR EXCHNG TRADED FD VI FT VEST NAS 291K 10K –
FIRST TR EXCHNG TRADED FD VI FT VEST US EQT 398K 8K –
FIRST TR EXCHNG TRADED FD VI FT VEST US EQT 239K 6K –
FIRST TR EXCHNG TRADED FD VI FT VEST US EQT 2M 32K –
FIRST TR EXCHNG TRADED FD VI VEST BUFFERED 855K 37K –
FIRST TR EXCHNG TRADED FD VI FT VEST UQ EQT 1M 27K –
FIRST TR EXCHNG TRADED FD VI TCW OPPORTUNIS 1M 30K –
FIRST TR EXCHNG TRADED FD VI TCW UNCONSTRAI 644K 26K –
FIRST TR EXCHNG TRADED FD VI FT VEST NAS 281K 11K –
FIRST TR EXCHNG TRADED FD VI FT VEST US EQT 643K 14K –
FIRST TR MORNINGSTAR DIVID L SHS 5M 144K –
FIRST TR S&P REIT INDEX FD COM 357K 14K –
FIRST TR VALUE LINE DIVID IN SHS 6M 144K –
FRONTLINE PLC COM 942K 37K –
FS CREDIT OPPORTUNITIES CORP COMMON STOCK 399K 63K –
FS KKR CAP CORP COM 1M 59K –
GALLAGHER ARTHUR J & CO COM 2M 6K –
GLOBAL NET LEASE INC COM NEW 79K 11K –
GRAYSCALE BITCOIN TR BTC SHS REP COM UT 255K 5K –
HOWMET AEROSPACE INC COM 446K 6K –
INVENTRUST PPTYS CORP COM NEW 447K 18K –
INVESCO EXCH TRADED FD TR II S&P 500 MOMNTM 417K 5K –
INVESCO EXCH TRADED FD TR II S&P MIDCP LOW 421K 8K –
INVESCO EXCH TRADED FD TR II S&P500 LOW VOL 803K 12K –
INVESCO EXCH TRADED FD TR II KBW HIG DV YLD 988K 66K –
INVESCO EXCH TRADED FD TR II S&P SMLCP LOW 212K 5K –
INVESCO QQQ TR UNIT SER 1 5M 11K –
ISHARES SILVER TR ISHARES 4M 169K –
ISHARES TR MSCI EAFE ETF 970K 12K –
ISHARES TR MORTGE REL ETF 217K 10K –
ISHARES TR RUS 1000 GRW ETF 1M 4K –
ISHARES TR U.S. TECH ETF 388K 3K –
ISHARES TR S&P MC 400GR ETF 2M 22K –
ISHARES TR EXPANDED TECH 228K 3K –
ISHARES TR S&P 500 GRWT ETF 2M 25K –
ISHARES TR SHORT TREAS BD 215K 2K –
ISHARES TR RUS 1000 VAL ETF 953K 5K –
ISHARES TR RUSSELL 2000 ETF 1M 7K –
ISHARES TR CORE S&P500 ETF 1M 2K –
ISHARES TR S&P 500 VAL ETF 400K 2K –
J P MORGAN EXCHANGE TRADED F ULTRA SHRT INC 246K 5K –
JPMORGAN CHASE & CO. COM 858K 4K –
KITE RLTY GROUP TR COM NEW 556K 25K –
KRATOS DEFENSE & SEC SOLUTIO COM NEW 807K 40K –
LATTICE SEMICONDUCTOR CORP COM 585K 10K –
LIMBACH HLDGS INC COM 254K 4K –
MARATHON PETE CORP COM 2M 9K –
MARKEL GROUP INC COM 632K 401 –
MARVELL TECHNOLOGY INC COM 780K 11K –
MASTERBRAND INC COMMON STOCK 296K 20K –
MERCK & CO INC COM 272K 2K –
MICROSOFT CORP COM 1M 3K –
MICROSTRATEGY INC CL A NEW 2M 1K –
MODINE MFG CO COM 2M 20K –
NORTHERN LTS FD TR IV INSPIRE 100 ETF 817K 22K –
NORTHERN LTS FD TR IV INSPIRE GBL HOPE 546K 15K –
NORTHERN LTS FD TR IV INSPIRE INTL ETF 304K 10K –
NUTANIX INC CL A 2M 28K –
NVENT ELECTRIC PLC SHS 622K 8K –
NVIDIA CORPORATION COM 7M 60K –
ON SEMICONDUCTOR CORP COM 994K 15K –
ORACLE CORP COM 208K 1K –
OSCAR HEALTH INC CL A 602K 38K –
PACER FDS TR GLOBL CASH ETF 465K 14K –
PALANTIR TECHNOLOGIES INC CL A 3M 134K –
PEPSICO INC COM 341K 2K –
PIMCO ETF TR ENHAN SHRT MA AC 445K 4K –
POWELL INDS INC COM 1M 10K –
PROCTER AND GAMBLE CO COM 836K 5K –
PROSHARES TR PSHS ULTRUSS2000 244K 7K –
PROSHARES TR RUSS 2000 DIVD 790K 13K –
PROSHARES TR S&P MDCP 400 DIV 727K 10K –
PROSHARES TR S&P 500 DV ARIST 4M 45K –
PROSHARES TR PSHS ULT S&P 500 529K 6K –
PROSHARES TR PSHS ULTRA QQQ 2M 16K –
PROSHARES TR PSHS ULTRA DOW30 391K 5K –
PROSHARES TR PSHS ULT MCAP400 247K 4K –
PULTE GROUP INC COM 3M 25K –
QUALCOMM INC COM 210K 1K –
QUANTA SVCS INC COM 695K 3K –
RADNET INC COM 477K 8K –
SKYWEST INC COM 1M 17K –
SOUTHERN COPPER CORP COM 904K 8K –
SPDR DOW JONES INDL AVERAGE UT SER 1 987K 3K –
SPDR GOLD TR GOLD SHS 6M 26K –
SPDR S&P 500 ETF TR TR UNIT 5M 9K –
SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 3M 5K –
SPDR SER TR BLOOMBERG 1-3 MO 1M 12K –
SPDR SER TR S&P 600 SMCP GRW 207K 2K –
SPDR SER TR BBG CONV SEC ETF 299K 4K –
SPDR SER TR SSGA US LRG ETF 638K 4K –
SPROTT PHYSICAL SILVER TR TR UNIT 1M 121K –
STERLING INFRASTRUCTURE INC COM 375K 3K –
SUNNOVA ENERGY INTL INC. COM 93K 17K –
SUPER MICRO COMPUTER INC COM 5M 7K –
TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 718K 4K –
TECHNIPFMC PLC COM 1M 42K –
TEEKAY CORPORATION COM 279K 31K –
TEEKAY TANKERS LTD CL A 3M 44K –
TESLA INC COM 247K 1K –
TIDEWATER INC NEW COM 3M 30K –
TIMOTHY PLAN US LRGMD CP CORE 297K 7K –
TOLL BROTHERS INC COM 309K 3K –
UFP TECHNOLOGIES INC COM 515K 2K –
VAALCO ENERGY INC COM NEW 340K 54K –
VALARIS LTD CL A 487K 7K –
VANECK ETF TRUST CLO ETF 3M 54K –
VANECK ETF TRUST IG FLOATING RATE 526K 21K –
VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 275K 4K –
VANGUARD TAX-MANAGED FDS VAN FTSE DEV MKT 286K 6K –
VANGUARD WHITEHALL FDS INTL HIGH ETF 925K 13K –
VERTIV HOLDINGS CO COM CL A 6M 69K –
VISTRA CORP COM 1M 14K –
WEATHERFORD INTL PLC ORD SHS 2M 16K –
WISDOMTREE TR US QTLY DIV GRT 3M 34K –
WISDOMTREE TR US MIDCAP DIVID 219K 5K –
XENIA HOTELS & RESORTS INC COM 202K 14K –
XP INC CL A 303K 17K –