Harvey Investment Company, LLC (Louisville)

Name: Harvey Investment Company, LLC
Address: 297 North Hubbards Lane, Louisville, KY, 40207
Telephone: 502-339-8270

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.