{ "crd_number": 110482, "slug": "harvey-investment-company-llc-louisville-ky-110482", "primary_business_name": "HARVEY INVESTMENT COMPANY, LLC", "legal_name": "HARVEY INVESTMENT COMPANY, LLC", "dbas": [], "city": "Louisville", "state": "KY", "country": "United States", "cbsa_code": "31140", "metro": { "cbsa_code": "31140", "common_name": "Louisville", "msa_name": "Louisville/Jefferson County, KY-IN", "path": "/advisors/ky/louisville" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2000-10-26", "years_registered": 25, "period": "2026-10-01", "filing_date": "2026-08-04", "carried_forward": false, "raum_total": 1028628022.0, "raum_discretionary": 1028628022.0, "raum_non_discretionary": 0.0, "raum_band": "1b_5b", "raum_band_label": "$1 billion to $5 billion", "total_employees": 4, "advisory_employees": 4, "client_count_bucket": "fewer_than_5_in_some_types", "clients_by_type": { "charitable": { "raum": 114703676.0, "count": 8 }, "individuals": { "raum": 9059881.0, "count": 13 }, "high_net_worth_individuals": { "raum": 901980342.0, "count": 163 }, "corporations_other_businesses": { "raum": 2884123.0, "count": null, "fewer_than_5": true } }, "compensation_types": [ "fixed", "percentage_of_aum" ], "advisory_activities": [ "portfolio_management_businesses_institutional", "portfolio_management_individuals" ], "wrap_fee_participant": true, "disclosure_yes_count": 7, "states_registered": [ "CA", "CO", "FL", "GA", "IL", "KY", "NC", "OH", "SC", "TX" ], "websites": [ "https://harveyinvestment.com" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/110482", "disclosure_items": [ { "item": "11.C(2)", "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?" }, { "item": "11.C(4)", "question": "Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?" }, { "item": "11.C(5)", "question": "Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?" }, { "item": "11.D(2)", "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?" }, { "item": "11.D(4)", "question": "In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?" }, { "item": "11.D(5)", "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever denied, suspended, or revoked the registration or license of the firm or an advisory affiliate, prevented either by order from associating with an investment-related business, or restricted either one's activity?" }, { "item": "11.E(2)", "question": "Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?" } ], "city_as_filed": "LOUISVILLE", "url": "https://advisorcensus.com/firm/harvey-investment-company-llc-louisville-ky-110482", "display_name": "Harvey Investment Company, LLC", "summary": "Harvey Investment Company, LLC is an SEC-registered investment advisory firm in Louisville, KY, registered since 2000, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated August 4, 2026.", "citation": "AdvisorCensus. Harvey Investment Company, LLC (CRD 110482): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Fixed fees (other than subscription fees)" ], "advisory_activity_labels": [ "Portfolio management for individuals and/or small businesses", "Portfolio management for businesses (other than small businesses) or institutional clients" ], "quick_answers": [ { "q": "How is Harvey Investment Company, LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Harvey Investment Company, LLC reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees)." }, { "q": "Where is Harvey Investment Company, LLC located?", "a": "Harvey Investment Company, LLC's principal office is in Louisville, KY, according to its Form ADV." }, { "q": "Is Harvey Investment Company, LLC registered with the SEC or a state?", "a": "Harvey Investment Company, LLC is an SEC-registered investment advisory firm, registered since 2000. Status as filed: Approved. CRD 110482." }, { "q": "How much does Harvey Investment Company, LLC manage?", "a": "Harvey Investment Company, LLC reports $1,028,628,022 in regulatory assets under management in its Form ADV filing dated August 4, 2026 (100% discretionary)." }, { "q": "How have Harvey Investment Company, LLC's assets and staff changed since 2021?", "a": "In the Form ADV data for Harvey Investment Company, LLC: Regulatory assets under management: $826,395,170 in the October 2021 data and $1,028,628,022 in the October 2026 data, up 24%. Total employees: 5 in October 2021 and 4 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Harvey Investment Company, LLC serve?", "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (163); individuals (other than high net worth individuals) (13); charitable organizations (8)." }, { "q": "Which custodians does Harvey Investment Company, LLC use?", "a": "Harvey Investment Company, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Pershing Advisor Solutions LLC and PNC Wealth Management LLC as custodians holding 10% or more of its separately managed account assets." }, { "q": "Does Harvey Investment Company, LLC report any disciplinary disclosures?", "a": "Reports 7 disclosure items on Form ADV Item 11: yes answers to 7 questions about regulatory matters (11.C(2), 11.C(4), 11.C(5), 11.D(2), 11.D(4), 11.D(5), 11.E(2)). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/110482" }, { "q": "Does Harvey Investment Company, LLC state an account minimum?", "a": "Its Form ADV Part 2A brochure dated March 23, 2026 says: \"Generally, our minimum account size is $500,000 although this may be waived based on other considerations such as the account’s relationship to established clients or other factors.\"" } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 826395170.0, "total_employees": 5, "filing_date": "2021-03-16" }, { "period": "2022-10-01", "regulatory_assets_under_management": 979438333.0, "total_employees": 5, "filing_date": "2022-03-16" }, { "period": "2023-10-01", "regulatory_assets_under_management": 869090420.0, "total_employees": 5, "filing_date": "2023-03-21" }, { "period": "2024-10-01", "regulatory_assets_under_management": 913288498.0, "total_employees": 4, "filing_date": "2024-03-22" }, { "period": "2025-10-01", "regulatory_assets_under_management": 941505742.0, "total_employees": 4, "filing_date": "2025-03-27" }, { "period": "2026-10-01", "regulatory_assets_under_management": 1028628022.0, "total_employees": 4, "filing_date": "2026-08-04" } ], "recent_changes": [], "fees_from_brochure": { "source": "Form ADV Part 2A brochure dated March 23, 2026", "tiers": [], "flat_rate": null, "stated_range": null, "stated_maximum": null, "account_minimum": "$500,000", "account_minimum_may_be_waived": true, "minimum_annual_fee": null, "figures": [ { "label": "Account minimum", "statements": [ "Account minimum: $500,000 (the brochure says it may be waived or negotiated)" ], "quotes": [ "Generally, our minimum account size is $500,000 although this may be waived based on other considerations such as the account’s relationship to established clients or other factors." ] } ], "quotes": [ "Generally, our minimum account size is $500,000 although this may be waived based on other considerations such as the account’s relationship to established clients or other factors." ], "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable." }, "custodians": [ { "name": "Pershing Advisor Solutions LLC", "name_as_filed": "PERSHING ADVISOR SOLUTIONS LLC", "affiliated": false }, { "name": "PNC Wealth Management LLC", "name_as_filed": "PNC WEALTH MANAGEMENT LLC", "affiliated": false } ], "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.", "markdown_url": "https://advisorcensus.com/firm/harvey-investment-company-llc-louisville-ky-110482.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 13, "fewer_than_5": false, "raum": 9059881.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 163, "fewer_than_5": false, "raum": 901980342.0 }, { "type": "charitable", "label": "Charitable organizations", "count": 8, "fewer_than_5": false, "raum": 114703676.0 }, { "type": "corporations_other_businesses", "label": "Corporations or other businesses not listed above", "count": null, "fewer_than_5": true, "raum": 2884123.0 } ], "disclosure_line": "Reports 7 disclosure items on Form ADV Item 11.", "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/110482", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }