Harvey Investment provides portfolio management for individuals and small businesses and portfolio management for institutions.
Harvey Investment reports 184 clients. They include 163 high-net-worth individuals, 13 individual clients and 8 charitable organizations. Of its assets, 100.0% ($1.03B across 264 accounts) are managed with discretion. A wrap fee program the firm both sponsors and manages holds $95M. Of its clients, 1% are outside the U.S. It advised 2 clients without assets under management last fiscal year.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 7% | <1% |
| High-net-worth individuals | 89% | 88% |
| Charitable organizations | 4% | 11% |
| Corporations and other businesses | Fewer than 5 | <1% |
Client shares use reported counts. Client types without a reported count are excluded from that total.
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 13 | $9.06M | 0.9% | $697K |
| High-net-worth individuals | 163 | $902M | 87.7% | $5.53M |
| Charitable organizations | 8 | $115M | 11.2% | $14.3M |
| Corporations and other businesses | Fewer than 5 | $2.88M | 0.3% | — |
| Total | 184 | $1.03B | 100% | — |
- Clients
- 13
- Regulatory AUM
- $9.06M
- AUM share
- 0.9%
- Avg. per client
- $697K
- Clients
- 163
- Regulatory AUM
- $902M
- AUM share
- 87.7%
- Avg. per client
- $5.53M
- Clients
- 8
- Regulatory AUM
- $115M
- AUM share
- 11.2%
- Avg. per client
- $14.3M
- Clients
- Fewer than 5
- Regulatory AUM
- $2.88M
- AUM share
- 0.3%
- Avg. per client
- —
Total
- Clients
- 184
- Regulatory AUM
- $1.03B
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 1%
- Clients advised without assets under management last fiscal year
- 2
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 0
Harvey Investment charges 0.50%–1.00% a year for its Investment advisory services. Each asset band is charged at its own rate. The fee is billed in advance and is negotiable. The brochure also prices one other service, listed under fee details.
| Asset band | Annual rate |
|---|---|
| $0–$1M | 1.00% |
| $1M–$3M | 0.75% |
| $3M and above | 0.50% |
Fee details and sources
Other fees
- Harvey Focus Portfolios
- Clients who participate in Harvey Focus Portfolios pay 1% of the market value of the assets in the service, regardless of total account value.
WT Acquisition, LLC owns 50% to 75% of Harvey Investment and is in turn owned by Hightower Holding, LLC (75% or more). The leadership team of Harvey Investment includes President Samuel Harvey and Chief Compliance Officer Samuel Noble. It has 4 employees.
Staff
- 4 employees
- 4 in advisory functions
- 4 state-registered reps
- Owns 75% or more of Harvey Investment Company, LLC
Mary Herrmann
Control person · since April 2001
- Owns 75% or more of Harvey Investment Company, LLC
Samuel Noble
Control person · since January 2023
- Owns 50% to 75% of Harvey Investment Company, LLC
WT Acquisition, LLC
Control person · since May 2017
- Owns 75% or more of WT Acquisition, LLC
Hightower Holding, LLC
Control person · since May 2017
- Owns 50% to 75% of Hightower Holding, LLC
THL HT SPV, L.P.
Control person · since December 2020
- Owns 10% to 25% of Harvey Investment Company, LLC
Castleman Corporation
Control person · since April 2001
- Owns 75% or more of Castleman Corporation
Samuel Harvey
Control person · since April 2001
- Owns 5% to 10% of Harvey Investment Company, LLC
Junior D, Inc.
since April 2001
- Owns 75% or more of Junior D, Inc.
John Davis
Control person · since April 2001
- Owns 5% to 10% of Harvey Investment Company, LLC
Jevne Corp.
since April 2013
- Owns 75% or more of Jevne Corp.
Joshua Jevne
Control person · since April 2013
Harvey Investment’s regulatory assets grew from $826M (March 2021) to $1.03B (August 2026); clients were 184 in both filings and employees fell from 5 to 4.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | StaffEmployees | Offices |
|---|---|---|---|---|
| Aug 2026August 2026 | $1.03B | 184 | 4 | 1 |
| Mar 2025March 2025 | $942M | 181 | 4 | 1 |
| Mar 2024March 2024 | $913M | 188 | 4 | 1 |
| Mar 2023March 2023 | $869M | 189 | 5 | 1 |
| Mar 2022March 2022 | $979M | 190 | 5 | 1 |
| Mar 2021March 2021 | $826M | 183 | 5 | 1 |
Besides its headquarters, Harvey Investment has 0 offices, with 1 listed address in 1 state.
Kentucky · 1 listed address
- 297 North Hubbards Lane, Suite 102, LouisvilleHQ
Contact and registration details
- Legal name
- Harvey Investment Company, LLC
- Headquarters
- 297 North Hubbards Lane, Suite 102, Louisville, KY 40207
- Website
- harveyinvestment.com
- Phone
- 502-339-8270
- SEC file
- 801-58031
- Structure
- Delaware LLC
- Fiscal year end
- December
Harvey Investment’s named custodians for separately managed accounts are Pershing ($632M, 76%) and PNC Wealth Management ($196M, 24%). Harvey Investment has custody of $27M for 69 clients.
- PershingPershing Advisor Solutions LLC · Jersey City, NJ · $632M76%
- PNC Wealth ManagementPNC Wealth Management LLC · Pittsburgh, PA · $196M24%
At year end, Harvey Investment’s separately managed accounts were mostly in stocks (92%). Its reported 13F holdings for the quarter ended 30 June 2026 total $918K across 99 positions; the largest are Oreilly Automotive Incorporate (9.2%), TJX Cos Inc. New (5.5%) and Johnson & Johnson (5.3%).
What the accounts hold
- Stocks92%
- Cash8%
How many clients does Harvey Investment have?
Harvey Investment has 184 clients and manages $1.03 billion for them, as of August 2026. They include 163 high-net-worth individuals, 13 individual clients and 8 charitable organizations.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 4 August 2026
What services does Harvey Investment offer?
Harvey Investment provides portfolio management for individuals and small businesses and portfolio management for institutions.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How much does Harvey Investment charge?
Harvey Investment charges 0.50%–1.00% a year for its Investment advisory services. Each asset band is charged at its own rate. The fee is billed in advance and is negotiable.
Source: ADV PART 2A, filed 23 March 2026
Which custodians does Harvey Investment use?
Harvey Investment’s separately managed account assets are held at Pershing Advisor Solutions LLC (Jersey City, NJ), with $632M and PNC Wealth Management LLC (Pittsburgh, PA), with $196M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 4 August 2026
How many financial advisors does Harvey Investment have?
Harvey Investment has 4 investment adviser representatives registered with state securities authorities, out of 4 employees, and 4 perform investment advisory functions. None are registered representatives of a broker-dealer or 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 Harvey Investment invest in?
At the end of its last fiscal year, Harvey Investment’s separately managed accounts held 92% exchange-traded equities and 8% cash and equivalents.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Harvey Investment?
Harvey Investment is owned through a chain of holding companies by Samuel Harvey, John Davis, Joshua Jevne and THL HT SPV, L.P. Its direct owners are Castleman Corporation (10% to 25%), Junior D, Inc. (5% to 10%), Jevne Corp. (5% to 10%), WT Acquisition, LLC (50% to 75%), Mary Herrmann (75% or more) and Samuel Noble (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 4 August 2026
How does Harvey Investment get paid?
Harvey Investment is paid through a percentage of assets under management 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 Harvey Investment?
Harvey Investment’s main office is at 297 North Hubbards Lane, Suite 102, Louisville, KY 40207. Its phone number is 502-339-8270. Its website is harveyinvestment.com.
