Harvest Investment Services provides financial planning, portfolio management for individuals and small businesses, portfolio management for pooled vehicles, portfolio management for institutions, pension consulting, and selecting other managers. Financial planning was provided to 26–50 clients last fiscal year.
Harvest Investment Services reports 1,508 clients. They include 1,316 individual clients, 184 high-net-worth individuals and 8 pooled investment vehicles. Of its assets, 100.0% ($758M across 3,427 accounts) are managed with discretion. A wrap fee program the firm both sponsors and manages holds $263M.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 87% | 33% |
| High-net-worth individuals | 12% | 48% |
| Pooled investment vehicles | <1% | 19% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 1,316 | $248M | 32.7% | $189K |
| High-net-worth individuals | 184 | $368M | 48.5% | $2M |
| Pooled investment vehicles | 8 | $143M | 18.8% | $17.9M |
| Total | 1,508 | $758M | 100% | $503K |
- Clients
- 1,316
- Regulatory AUM
- $248M
- AUM share
- 32.7%
- Avg. per client
- $189K
- Clients
- 184
- Regulatory AUM
- $368M
- AUM share
- 48.5%
- Avg. per client
- $2M
- Clients
- 8
- Regulatory AUM
- $143M
- AUM share
- 18.8%
- Avg. per client
- $17.9M
Total
- Clients
- 1,508
- Regulatory AUM
- $758M
- AUM share
- 100%
- Avg. per client
- $503K
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 26–50
Harvest Investment Services charges 1.50%–2.80% a year for its Portfolio Management Fee Arrangement. The fee is billed in advance and is negotiable. The brochure also prices one other service, listed under fee details.
Fee details and sources
Other fees
- Financial Planning and Consulting
- Financial planning and consulting is billed hourly at up to $500, or as a fixed fee of up to $10,000.
Harvest Financial Planning, LLC owns 50% to 75% of Harvest Investment Services and is in turn owned by Timothy Newell (50–75%). The leadership team of Harvest Investment Services includes President Timothy Newell and Chief Compliance Officer John Alyo. It has 38 employees, 28 of them in advisory roles.
Leadership
- Timothy NewellPresident/CEO
- John AlyoCIO/Chief Compliance Officer
Investment adviser representatives
28 representatives listed in the SEC register as of 9 October 2026.
- John K Alyo
- Andrew David Barlow
- Luke Edward Baumgarten
- Anna Marie Dujan
- Brent Lee Emerick
- Ivy M Emerick
- Thomas Fogelsong III
- Isaiah Gates
- Emmanuel Iroko
- Ryan Lee Kaczmarek
- Kevin Robert Loffredi
- Ted Miller
- Brenton Timothy Newell
- Timothy John Newell
- Brian James Park
- Joshua Payne
- Jeffrey Raymond Pounds
- Ronald Scott Pyle
- Joseph Savenok
- Seth Scott
- Thomas Anthony Shankland
- Michael Frederick Sokolik Jr
- James Francis Stawick
- Robert Kennedy Thompson
- Joseph Webb III
- Wendy Jo West
- Kenneth James Wilkinson
- Kristine Jane Witherow
Staff
- 38 employees
- 28 in advisory functions
- 26 state-registered reps
- 20 insurance agents
- Owns 50% to 75% of Harvest Investment Services, LLC
Harvest Financial Planning, LLC
Control person · since October 2011
- Owns 50% to 75% of Harvest Financial Planning, LLC
Timothy Newell
Control person · since October 2011
- Owns 10% to 25% of Harvest Investment Services, LLC
John Alyo
Control person · since October 2011
Harvest Investment Services’ regulatory assets grew 2.9× from $266M (April 2021) to $758M (May 2026); clients rose from 830 to 1,508 and employees from 21 to 38.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | StaffEmployees | Offices |
|---|---|---|---|---|
| May 2026May 2026 | $758M | 1,508 | 38 | 13 |
| Jul 2025July 2025 | $534M | 1,393 | 32 | 11 |
| Jul 2024July 2024 | $282M | 1,195 | 28 | 10 |
| Jul 2023July 2023 | $254M | 836 | 29 | 9 |
| Mar 2022March 2022 | $292M | 845 | 22 | 8 |
| Apr 2021April 2021 | $266M | 830 | 21 | 10 |
Besides its headquarters, Harvest Investment Services has 12 offices (5 private residences, listed without an address), with 8 listed addresses across 4 states.
Illinois · 4 listed addresses
- 1 Transam Plaza Drive, Suite 230, Oakbrook TerraceHQ
- 901 North 1st St, Dekalb
- 913 W Hillgrove Ave, Lagrange
- 9944 S. Roberts Road, Palos Hills
California · 2 listed addresses
- 3740 Elizabeth Street, Riverside
- 710 South Broadway, Walnut Creek
Colorado · 1 listed address
- 5333 N. Union BLVD, Colorado Springs
Indiana · 1 listed address
- 450 E 96th Street, Indianapolis
Other business names
Harvest Investment Services has reported 5 other business names to the SEC.
- Comprehensive Financial Planning Services
- Double W Financial Group, Inc.
- Progressive Financial Planning Services, Inc.
- Pyle Financial Services, Inc
- Shepherd'S Wallet Financial
Contact and registration details
- Legal name
- Harvest Investment Services, LLC
- Headquarters
- 1 Transam Plaza Drive, Suite 230, Oakbrook Terrace, IL 60181-4285
- Phone
- 630-613-9230
- @harvest-investment-services-llc
- SEC file
- 801-79232
- Structure
- Illinois LLC
- Fiscal year end
- December
Harvest Investment Services’ named custodian for separately managed accounts is Charles Schwab ($544M). Harvest Investment Services does not have custody of client assets.
- Charles SchwabCharles Schwab & Co., Inc. · Westlake, TX · $544M100%
At year end, Harvest Investment Services’ separately managed accounts were mostly in funds (50%) and stocks (49%). Its reported 13F holdings for the quarter ended 30 June 2026 total $647M across 383 positions; the largest are First TR Exchange-traded FD (6.9%), Viasat Inc. (2.4%) and SPDR Gold TR (2.3%).
What the accounts hold
- Stocks49%
- Funds50%
- Registered funds45%
- Pooled vehicles5%
- Bonds1%
Reported 13F holdings
- $647M
- Reported 13F value
- 383
- Positions
- 22.5%
- In the 10 largest
- +18.3%
- Value vs. prior quarter
- First TR Exchange-traded FD · Fst Low Oppt Eft6.9%
- Viasat Inc.2.4%
- SPDR Gold TR · Gold Shs2.3%
- iShares Silver TR · iShares1.8%
- Western Digital Corp.1.7%
- First TR Exchange Traded FD · Risng Divd Achiv1.6%
- Ssr Mining IN1.5%
- First TR Exchange-traded FD · First TR Enh New1.5%
- Howmet Aerospace Inc.1.4%
- Aercap Holdings NV1.4%
Together, the ten largest are 22.5% of reported value.
How many clients does Harvest Investment Services have?
Harvest Investment Services has 1,508 clients and manages $758 million for them, as of May 2026. They include 1,316 individual clients, 184 high-net-worth individuals and 8 pooled investment vehicles.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 26 May 2026
What services does Harvest Investment Services offer?
Harvest Investment Services provides financial planning, portfolio management for individuals and small businesses, portfolio management for pooled vehicles, portfolio management for institutions, pension consulting, and selecting other managers.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How much does Harvest Investment Services charge?
Harvest Investment Services charges 1.50%–2.80% a year for its Portfolio Management Fee Arrangement. The fee is billed in advance and is negotiable.
Which custodians does Harvest Investment Services use?
Harvest Investment Services’ separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $544M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 26 May 2026
How many financial advisors does Harvest Investment Services have?
Harvest Investment Services has 26 investment adviser representatives registered with state securities authorities, out of 38 employees, and 28 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 20 employees are licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Harvest Investment Services invest in?
At the end of its last fiscal year, Harvest Investment Services’ separately managed accounts held 49% exchange-traded equities, 45% registered funds (mutual funds, ETFs, BDCs), 5% pooled vehicles (private funds and similar) and 1% U.S. government and agency bonds.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Harvest Investment Services?
Harvest Investment Services is owned through a holding company by Timothy Newell. Its direct owners are John Alyo (10% to 25%) and Harvest Financial Planning, LLC (50% to 75%).
Source: Form ADV Part 1A, Schedules A and B, filed 26 May 2026
How does Harvest Investment Services get paid?
Harvest Investment Services is paid through a percentage of assets under management, hourly charges and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
How do I contact Harvest Investment Services?
Harvest Investment Services’ main office is at 1 Transam Plaza Drive, Suite 230, Oakbrook Terrace, IL 60181-4285. Its phone number is 630-613-9230. Its website is harvestinvestmentservices.com.