Harvey Investment Company, LLC (Louisville)


Harvey Investment Company, LLC is a large advisory firm based in Louisville. It manages $620.58 million of regulatory assets for 242 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of California, Colorado, Florida, and 6 other states.

Harvey Investment Company provides portfolio management for individuals and small businesses and portfolio management for businesses and institutional clients. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Harvey Investment Company: assets under management

The assets under management (AUM) of Harvey Investment Company, LLC is $620.58 million. The firm's AUM has grown by 347% since the beginning of its operation, and $3.48 million of the total AUM is attributable to clients outside of the United States.

The firm manages $614.3 million in discretionary accounts and $6.28 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $2.55 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $6.28 million.
Harvey Investment Company has custody of $22.46 million in cash and securities for 50 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in exchange traded securities the most. They account for 86% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 13% of the firm’s portfolio. Investments in state and local bonds form 1% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Harvey Investment Company, LLC for their services and products based on a percentage of assets under management and fixed fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Samuel Castleman Harvey serves?

The firm provides services to individuals, charitable organizations, and high net worth individuals. The largest group of clients of Samuel Castleman Harvey is high net worth individuals with 143 clients and $538.57 million of assets under management. Among the 13 most similar advisory firms, Harvey Investment Company has the 5th highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $607.75 million for 165 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 1% of the firm’s clients are foreign persons or businesses.

Harvey Investment Company doesn't advise any private funds.

Careers at Harvey Investment Company, LLC

The company employs 4 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. 4 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Samuel Castleman Harvey has been acting as President since 1 Oct 2000. Llc Thl Equity Fund Vii Investors (Ht) joined the executive team most recently as the Owner.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Samuel Castleman Harvey President 1 Oct 2000 Other 239226
Inc. Wealthtrust Owner 1 Oct 2000 50% - 75% 62-1696932
John Johnston Davis Executive vice president 1 Oct 2000 Other 2324766
Mary Linder Herrmann Vice president 1 Oct 2000 Other 4161367
Marvin Rush Benton Vice president 1 Oct 2000 Other 4130280
Ralph Walton Illges Secretary/treasurer 1 Oct 2000 Other 1287994
Castleman Corporation Owner 1 Apr 2001 Other 61-1387852
Inc. Junior D Owner 1 Apr 2001 Other 61-1387851
Gracie Corp. Owner 1 Apr 2001 Other 61-1387849
Paul Harrison Stropkay Vice president 1 Dec 2001 Other 4007134
Inc. Harrison Owner 1 Apr 2003 Other 56-2332746
Justin Bruce Hacker Secretary, treasurer 1 Nov 2004 Other 4867220
Llc Wealthtrust Member 1 Nov 2006 50% - 75% 20-5389611
John Patrick Miklich Secretary & treasurer 1 Jan 2009 Other 5650194
Mary Linder Herrmann Senior vice president 1 Dec 2011 Other 4161367
Jevne Corp. Owner 1 Apr 2013 Other 46-2377237
Joshua Stephen Jevne Senior vice president 1 Jun 2013 Other 5899153
Joshua Stephen Jevne Senior vice president 1 Oct 2013 Other 5899153
Samuel Hunter Noble Vice president 1 Mar 2014 Other 5983809
Samuel Hunter Noble Vice president, chief compliance officer 1 Mar 2015 Other 5983809
Robert Jeffery Corne Vice president and secretary 1 May 2016 Other 4993108
Llc Wt Acquisition Owner 1 May 2017 50% - 75% 82-151473
Robert Steven Pagliuco Evp and treasurer 1 Jun 2017 Other 2617931

Indirect Owners

The SEC currently registers 43 indirect owners.

Name Entity Date acquired Ownership Employer ID
Fredric Mark Edelman Shareholder 1 Jun 1996 75% - 100% 1537980
Inc. Morgan Asset Management Owner 1 Oct 1999 75% - 100% 111715
Inc. Mk Holding Company Owner 1 Mar 2001 75% - 100% not available
Regions Financial Corporation Owner 1 Mar 2001 75% - 100% 63-0371391
Inc. Mk Holding Owner 1 Mar 2001 75% - 100% 62-1153850
Samuel Castleman Harvey Owner 1 Apr 2001 75% - 100% 239226
John Johnston Davis Owner 1 Apr 2001 75% - 100% 2324766
Mary Linder Herrmann Owner 1 Apr 2001 75% - 100% 4161367
Paul Harrison Stropkay Owner 1 Mar 2003 75% - 100% 4007134
Thomas Haskell Lee Managing member 1 Aug 2006 75% - 100% 305494
Wealthtrust Holdings Co. Member 1 Nov 2006 75% - 100% 20-5576278
Wealthtrust Holdings Llc Shareholder 1 Nov 2006 75% - 100% 20-5493778
Lp Falcon Mezzanine Partners Ii Member 1 Nov 2006 75% - 100% 20-2506252
Llc Cpc Wt Investment Member 1 Nov 2006 25% - 50% 20-5509625
Llc Nmc Cpc Wt Investment Member 1 Nov 2006 25% - 50% 42-1717706
Mark Kevin Gormley Managing member 1 Mar 2009 25% - 50% 718402
Llc Lee Equity Partners Manager 1 Apr 2012 Other 157422
Lp Lee Equity Partners Fund Summer Aiv Member 1 Apr 2012 75% - 100% 80-0802317
Llc Lee Equity Partners Gp General partner 1 Apr 2012 Other 26-1532912
Teachers Retirement Sytem Of Texas Limited partner 1 Apr 2012 25% - 50% 74-6000164
Joshua Stephen Jevne Owner 1 Apr 2013 75% - 100% 5899153
Awp I Lp Member-managed 1 Sep 2015 75% - 100% 47-5311229
Awp Ii Llc Member-managed 1 Sep 2015 75% - 100% 47-4845839
Llc Affiliated Wealth Partners Holdings Member-managed 1 Sep 2015 75% - 100% 47-4536791
Llc Lep Summer Holdings Limited partner 1 Sep 2015 50% - 75% 37-1689318
Awp Gp Llc General partner 1 Sep 2015 Other 47-5305328
Llc Lee Equity Partners Member 1 Sep 2015 50% - 75% 157422
Inc. The Edelman Financial Center Member 1 Sep 2015 25% - 50% 81-0672613
George Lester Ball Board of managers 1 Sep 2015 Other 11332
Mark Kevin Gormley Board of managers 1 Sep 2015 Other 718402
Holly Day Deem Board of managers 1 Sep 2015 Other 2665529
Llc Lee Equity Partners Realization Fund Gp General partner 1 Sep 2015 Other 47-5092925
Achi Yaffe Board of managers 1 Sep 2015 Other 5167335
Edward Philip Moore Board of managers 1 Sep 2015 Other 1468827
Bruce Robert Mcmaken Board of managers 1 Dec 2015 Other 2851043
Daniel Joseph Rodriguez Board of managers 1 Feb 2016 Other 4981411
Daniel J Rodriguez Board of managers 1 Feb 2016 Other 4981411
L.P. Lee Equity Partners Realization Fund Summer Aiv Member 1 Mar 2016 75% - 100% 36-4818709
Lep Realization Summer Llc Limited partner 1 Mar 2016 50% - 75% 47-5027114
L.P. Lep Realization Feeder Member 1 Mar 2016 75% - 100% 47-5356891
Mark Kevin Gormley Managing member 1 Mar 2016 25% - 50% 718402
Llc Hightower Holding Owner 1 May 2017 75% - 100% 26-2270729
Llc Thl Equity Fund Vii Investors (Ht) Owner 1 Jan 2018 50% - 75% 82-3551026

Based in Louisville

The principal office where Harvey Investment Company, LLC performs its advisory services is located at 297 North Hubbards Lane, Louisville, KY 40207, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 502-339-8270 or by fax 502-339-9617. The normal business hours are 8:30 am to 5:00 pm on Monday - Friday. You can find more information about the New York firm at harveyinvestment.com.