HARVEY INVESTMENT COMPANY LLC

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Harvey Investment Company is based out of Louisville. Harvey Investment Company is a large advisory firm with 183 clients and discretionary assets under management (AUM) of $817,650,160 (Form ADV from 2021-03-16). Their last reported 13F filing for Q2 2021 included $758,578,000 in managed 13F securities and a top 10 holdings concentration of 46.98%. Harvey Investment Company's largest holding is OReilly Automotive Inc. with shares held of 101,166. Harvey Investment Company has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 80 13F filings

Download 13F Summary Create Alert

06/30/2021

13F Activity

  • Market Value $758.578 Million
  • Prior Market Value $702.386 Million
  • New Purchases2 stocks
  • Additional Purchases19 stocks
  • Sold out of2 stocks
  • Reduced holdings in36 stocks
  • Top 10 Holdings % 46.98 %
  • Turnover % [1]:4.30%
  • Turnover Alt % [2]: 1.20 %
  • Time Held Top20:32.85 quarters
  • Time Held Top10:28.50 quarters
  • Time Held All:42.15 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

06/30/2021

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2021-08-16

Performance for Q2 2021: 9.6%
Performance Last 4 Quarters: 30.62%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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*Shares are split adjusted

View Last Form Adv Compilation Report on Record

HARVEY INVESTMENT COMPANY, LLC
297 NORTH HUBBARDS LANE SUITE 102
LOUISVILLE KY    40207
Country: United States

Business Phone: 502-339-8270
Fax: 502-339-9617
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 5
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Fixed fees
Amount of client funds and securities: 30,846,700
Total Number of Clients: 183
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

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Insider Transactions in the past year

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HARVEY INVESTMENT COMPANY, LLC

ownership team - last updated 2021-03-16
Name Title Start Date Direct/Indirect % Ownership
HARVEY, SAMUEL, CASTLEMAN PRESIDENT 10/01/2000 Direct less than 5%
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC PRESIDENT direct 2000-10-01
HARVEY INVESTMENT COMPANY, LLC OWNER indirect 2001-04-01
CASTLEMAN CORPORATION OWNER 04/01/2001 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER direct 2001-04-01
JUNIOR D, INC. OWNER 04/01/2001 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER direct 2001-04-01
GRACIE CORP. OWNER 04/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER direct 2001-04-01
HERRMANN, MARY, LINDER SENIOR VICE PRESIDENT 12/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER indirect 2001-04-01
HARVEY INVESTMENT COMPANY, LLC SENIOR VICE PRESIDENT direct 2011-12-01
HARVEY INVESTMENT COMPANY, LLC VICE PRESIDENT direct 2000-10-01 2011-03-28
JEVNE CORP. OWNER 04/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER direct 2013-04-01
JEVNE, JOSHUA, STEPHEN SENIOR VICE PRESIDENT 10/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER indirect 2013-04-01
HARVEY INVESTMENT COMPANY, LLC SENIOR VICE PRESIDENT direct 2013-06-01
HARVEY INVESTMENT COMPANY, LLC SENIOR VICE PRESIDENT direct 2013-10-01
HARVEY INVESTMENT COMPANY, LLC SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER direct 2013-10-01
NOBLE, SAMUEL, HUNTER SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER 03/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC VICE PRESIDENT direct 2014-03-01
HARVEY INVESTMENT COMPANY, LLC VICE PRESIDENT, CHIEF COMPLIANCE OFFICER direct 2015-03-01
HARVEY INVESTMENT COMPANY, LLC SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER direct 2015-03-01
WT ACQUISITION, LLC OWNER 05/01/2017 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER direct 2017-05-01
KISSINGER FINANCIAL SERVICES, LLC OWNER direct 2017-05-01
BERG, DANIEL, JEREMY SECRETARY & TREASURER 03/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC DIRECTOR, FINANCE direct 2018-05-01
THETFORD, MICHELLE, MARIE PRINCIPAL 10/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
SUNAMERICA SECURITIES, INC. ASSISTANT VICE PRESIDENT direct 2001-01-01 2002-03-25
SUNAMERICA SECURITIES, INC. VICE PRESIDENT direct 2001-01-01 2003-03-28
SENTRA SECURITIES CORPORATION V P direct 2002-06-01 2003-03-28
SUNAMERICA SECURITIES, INC. VICE PRESIDENT, NEW ACCOUNTS/BROKER SERVICES direct 2001-01-01 2003-05-13
SPELMAN & CO., INC. VP direct 2002-06-01 2003-05-13
SENTRA SECURITIES CORPORATION VICE PRESIDENT, NEW ACCOUNTS/BROKER SERVICES direct 2002-06-01 2003-05-13
SUNAMERICA SECURITIES, INC. VICE PRESIDENT, NEW ACCOUNTS, BROKER SERVICES direct 2001-01-01 2003-09-26
SENTRA SECURITIES CORPORATION VICE PRESIDENT, NEW ACCOUNTS, BROKER SERVICES direct 2002-06-01 2003-09-26
SPELMAN & CO., INC. VICE PRESIDENT, NEW ACCOUNTS, BROKER SERVICES direct 2002-06-01 2003-09-26
HARVEY, SAMUEL, CASTLEMAN PRESIDENT 10/01/2000 Direct less than 5%
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC PRESIDENT direct 2000-10-01
HARVEY INVESTMENT COMPANY, LLC OWNER indirect 2001-04-01
CASTLEMAN CORPORATION OWNER 04/01/2001 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER direct 2001-04-01
JUNIOR D, INC. OWNER 04/01/2001 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER direct 2001-04-01
GRACIE CORP. OWNER 04/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER direct 2001-04-01
HERRMANN, MARY, LINDER SENIOR VICE PRESIDENT 12/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER indirect 2001-04-01
HARVEY INVESTMENT COMPANY, LLC SENIOR VICE PRESIDENT direct 2011-12-01
HARVEY INVESTMENT COMPANY, LLC VICE PRESIDENT direct 2000-10-01 2011-03-28
JEVNE CORP. OWNER 04/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER direct 2013-04-01
JEVNE, JOSHUA, STEPHEN SENIOR VICE PRESIDENT 10/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER indirect 2013-04-01
HARVEY INVESTMENT COMPANY, LLC SENIOR VICE PRESIDENT direct 2013-06-01
HARVEY INVESTMENT COMPANY, LLC SENIOR VICE PRESIDENT direct 2013-10-01
HARVEY INVESTMENT COMPANY, LLC SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER direct 2013-10-01
NOBLE, SAMUEL, HUNTER SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER 03/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC VICE PRESIDENT direct 2014-03-01
HARVEY INVESTMENT COMPANY, LLC VICE PRESIDENT, CHIEF COMPLIANCE OFFICER direct 2015-03-01
HARVEY INVESTMENT COMPANY, LLC SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER direct 2015-03-01
WT ACQUISITION, LLC OWNER 05/01/2017 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER direct 2017-05-01
KISSINGER FINANCIAL SERVICES, LLC OWNER direct 2017-05-01
BERG, DANIEL, JEREMY SECRETARY & TREASURER 03/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC DIRECTOR, FINANCE direct 2018-05-01
THETFORD, MICHELLE, MARIE PRINCIPAL 10/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
SUNAMERICA SECURITIES, INC. ASSISTANT VICE PRESIDENT direct 2001-01-01 2002-03-25
SUNAMERICA SECURITIES, INC. VICE PRESIDENT direct 2001-01-01 2003-03-28
SENTRA SECURITIES CORPORATION V P direct 2002-06-01 2003-03-28
SUNAMERICA SECURITIES, INC. VICE PRESIDENT, NEW ACCOUNTS/BROKER SERVICES direct 2001-01-01 2003-05-13
SPELMAN & CO., INC. VP direct 2002-06-01 2003-05-13
SENTRA SECURITIES CORPORATION VICE PRESIDENT, NEW ACCOUNTS/BROKER SERVICES direct 2002-06-01 2003-05-13
SUNAMERICA SECURITIES, INC. VICE PRESIDENT, NEW ACCOUNTS, BROKER SERVICES direct 2001-01-01 2003-09-26
SENTRA SECURITIES CORPORATION VICE PRESIDENT, NEW ACCOUNTS, BROKER SERVICES direct 2002-06-01 2003-09-26
SPELMAN & CO., INC. VICE PRESIDENT, NEW ACCOUNTS, BROKER SERVICES direct 2002-06-01 2003-09-26
HARVEY, SAMUEL, CASTLEMAN OWNER CASTLEMAN CORPORATION 04/01/2001 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC PRESIDENT direct 2000-10-01
HARVEY INVESTMENT COMPANY, LLC OWNER indirect 2001-04-01
DAVIS, JOHN, JOHNSTON OWNER JUNIOR D, INC. 04/01/2001 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER indirect 2001-04-01
HARVEY INVESTMENT COMPANY, LLC EXECUTIVE VICE PRESIDENT direct 2000-10-01 2004-02-24
HARVEY INVESTMENT COMPANY, LLC EXEC. VP, CHIEF COMPLIANCE OFFICER direct 2000-10-01 2013-06-19
HERRMANN, MARY, LINDER OWNER GRACIE CORP. 04/01/2001 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER indirect 2001-04-01
HARVEY INVESTMENT COMPANY, LLC SENIOR VICE PRESIDENT direct 2011-12-01
HARVEY INVESTMENT COMPANY, LLC VICE PRESIDENT direct 2000-10-01 2011-03-28
JEVNE, JOSHUA, STEPHEN OWNER JEVNE CORP. 04/01/2013 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER indirect 2013-04-01
HARVEY INVESTMENT COMPANY, LLC SENIOR VICE PRESIDENT direct 2013-06-01
HARVEY INVESTMENT COMPANY, LLC SENIOR VICE PRESIDENT direct 2013-10-01
HARVEY INVESTMENT COMPANY, LLC SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER direct 2013-10-01
HIGHTOWER HOLDING, LLC OWNER WT ACQUISITION, LLC 05/01/2017 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER indirect 2017-05-01
HIGHTOWER ADVISORS, LLC MEMBER direct 2008-07-01
HIGHTOWER NETWORK ADVISORS, LLC MEMBER direct 2013-04-01
HIGHTOWER NETWORK ADVISORS, LLC SHAREHOLDER indirect 2013-04-01
KISSINGER FINANCIAL SERVICES, LLC OWNER indirect 2017-05-01
THL HT SPV, L.P. OWNER HIGHTOWER HOLDING, LLC 12/01/2020 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC PARTNER indirect 2020-11-01
HIGHTOWER ADVISORS, LLC 25-50% OWNER OF APPLICANT'S HOLDING COMPANY indirect 2020-11-01
HIGHTOWER ADVISORS, LLC ACTIVE indirect 2020-11-01
KANAWHA CAPITAL MANAGEMENT, LLC 25-50% OWNER OF APPLICANT'S HOLDING COMPANY indirect 2020-12-01
HARVEY INVESTMENT COMPANY, LLC OWNER indirect 2020-12-01
DELTA ASSET MANAGEMENT, LLC 25-50% OWNER OF APPLICANT'S HOLDING COMPANY indirect 2020-12-01
THE RIKOON GROUP, LLC 25-50% OWNER OF APPLICANT'S HOLDING COMPANY indirect 2020-12-01
DUNCKER, STREETT & CO., LLC OWNER indirect 2020-12-01
HARVEY, SAMUEL, CASTLEMAN OWNER CASTLEMAN CORPORATION 04/01/2001 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC PRESIDENT direct 2000-10-01
HARVEY INVESTMENT COMPANY, LLC OWNER indirect 2001-04-01
DAVIS, JOHN, JOHNSTON OWNER JUNIOR D, INC. 04/01/2001 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER indirect 2001-04-01
HARVEY INVESTMENT COMPANY, LLC EXECUTIVE VICE PRESIDENT direct 2000-10-01 2004-02-24
HARVEY INVESTMENT COMPANY, LLC EXEC. VP, CHIEF COMPLIANCE OFFICER direct 2000-10-01 2013-06-19
HERRMANN, MARY, LINDER OWNER GRACIE CORP. 04/01/2001 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER indirect 2001-04-01
HARVEY INVESTMENT COMPANY, LLC SENIOR VICE PRESIDENT direct 2011-12-01
HARVEY INVESTMENT COMPANY, LLC VICE PRESIDENT direct 2000-10-01 2011-03-28
JEVNE, JOSHUA, STEPHEN OWNER JEVNE CORP. 04/01/2013 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER indirect 2013-04-01
HARVEY INVESTMENT COMPANY, LLC SENIOR VICE PRESIDENT direct 2013-06-01
HARVEY INVESTMENT COMPANY, LLC SENIOR VICE PRESIDENT direct 2013-10-01
HARVEY INVESTMENT COMPANY, LLC SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER direct 2013-10-01
HIGHTOWER HOLDING, LLC OWNER WT ACQUISITION, LLC 05/01/2017 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER indirect 2017-05-01
HIGHTOWER ADVISORS, LLC MEMBER direct 2008-07-01
HIGHTOWER NETWORK ADVISORS, LLC MEMBER direct 2013-04-01
HIGHTOWER NETWORK ADVISORS, LLC SHAREHOLDER indirect 2013-04-01
KISSINGER FINANCIAL SERVICES, LLC OWNER indirect 2017-05-01
THL HT SPV, L.P. OWNER HIGHTOWER HOLDING, LLC 12/01/2020 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC PARTNER indirect 2020-11-01
HIGHTOWER ADVISORS, LLC 25-50% OWNER OF APPLICANT'S HOLDING COMPANY indirect 2020-11-01
HIGHTOWER ADVISORS, LLC ACTIVE indirect 2020-11-01
KANAWHA CAPITAL MANAGEMENT, LLC 25-50% OWNER OF APPLICANT'S HOLDING COMPANY indirect 2020-12-01
HARVEY INVESTMENT COMPANY, LLC OWNER indirect 2020-12-01
DELTA ASSET MANAGEMENT, LLC 25-50% OWNER OF APPLICANT'S HOLDING COMPANY indirect 2020-12-01
THE RIKOON GROUP, LLC 25-50% OWNER OF APPLICANT'S HOLDING COMPANY indirect 2020-12-01
DUNCKER, STREETT & CO., LLC OWNER indirect 2020-12-01

HARVEY INVESTMENT COMPANY, LLC

ownership team - last updated 2020-06-18
Name Title Start Date Direct/Indirect % Ownership
CASTLEMAN CORPORATION OWNER 04/01/2001 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER direct 2001-04-01
JUNIOR D, INC. OWNER 04/01/2001 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER direct 2001-04-01
GRACIE CORP. OWNER 04/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER direct 2001-04-01
HARVEY, SAMUEL, CASTLEMAN PRESIDENT 10/01/2000 Direct less than 5%
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC PRESIDENT direct 2000-10-01
HARVEY INVESTMENT COMPANY, LLC OWNER indirect 2001-04-01
HERRMANN, MARY, LINDER SENIOR VICE PRESIDENT 12/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER indirect 2001-04-01
HARVEY INVESTMENT COMPANY, LLC SENIOR VICE PRESIDENT direct 2011-12-01
HARVEY INVESTMENT COMPANY, LLC VICE PRESIDENT direct 2000-10-01 2011-03-28
JEVNE CORP. OWNER 04/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER direct 2013-04-01
JEVNE, JOSHUA, STEPHEN SENIOR VICE PRESIDENT 10/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER indirect 2013-04-01
HARVEY INVESTMENT COMPANY, LLC SENIOR VICE PRESIDENT direct 2013-06-01
HARVEY INVESTMENT COMPANY, LLC SENIOR VICE PRESIDENT direct 2013-10-01
HARVEY INVESTMENT COMPANY, LLC SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER direct 2013-10-01
NOBLE, SAMUEL, HUNTER SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER 03/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC VICE PRESIDENT direct 2014-03-01
HARVEY INVESTMENT COMPANY, LLC VICE PRESIDENT, CHIEF COMPLIANCE OFFICER direct 2015-03-01
HARVEY INVESTMENT COMPANY, LLC SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER direct 2015-03-01
WT ACQUISITION, LLC OWNER 05/01/2017 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER direct 2017-05-01
KISSINGER FINANCIAL SERVICES, LLC OWNER direct 2017-05-01
BERG, DANIEL, JEREMY SECRETARY & TREASURER 03/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC DIRECTOR, FINANCE direct 2018-05-01
THETFORD, MICHELLE, MARIE PRINCIPAL 10/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
SUNAMERICA SECURITIES, INC. ASSISTANT VICE PRESIDENT direct 2001-01-01 2002-03-25
SUNAMERICA SECURITIES, INC. VICE PRESIDENT direct 2001-01-01 2003-03-28
SENTRA SECURITIES CORPORATION V P direct 2002-06-01 2003-03-28
SUNAMERICA SECURITIES, INC. VICE PRESIDENT, NEW ACCOUNTS/BROKER SERVICES direct 2001-01-01 2003-05-13
SPELMAN & CO., INC. VP direct 2002-06-01 2003-05-13
SENTRA SECURITIES CORPORATION VICE PRESIDENT, NEW ACCOUNTS/BROKER SERVICES direct 2002-06-01 2003-05-13
SUNAMERICA SECURITIES, INC. VICE PRESIDENT, NEW ACCOUNTS, BROKER SERVICES direct 2001-01-01 2003-09-26
SENTRA SECURITIES CORPORATION VICE PRESIDENT, NEW ACCOUNTS, BROKER SERVICES direct 2002-06-01 2003-09-26
SPELMAN & CO., INC. VICE PRESIDENT, NEW ACCOUNTS, BROKER SERVICES direct 2002-06-01 2003-09-26
HARVEY, SAMUEL, CASTLEMAN OWNER CASTLEMAN CORPORATION 04/01/2001 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC PRESIDENT direct 2000-10-01
HARVEY INVESTMENT COMPANY, LLC OWNER indirect 2001-04-01
DAVIS, JOHN, JOHNSTON OWNER JUNIOR D, INC. 04/01/2001 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER indirect 2001-04-01
HARVEY INVESTMENT COMPANY, LLC EXECUTIVE VICE PRESIDENT direct 2000-10-01 2004-02-24
HARVEY INVESTMENT COMPANY, LLC EXEC. VP, CHIEF COMPLIANCE OFFICER direct 2000-10-01 2013-06-19
HERRMANN, MARY, LINDER OWNER GRACIE CORP. 04/01/2001 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER indirect 2001-04-01
HARVEY INVESTMENT COMPANY, LLC SENIOR VICE PRESIDENT direct 2011-12-01
HARVEY INVESTMENT COMPANY, LLC VICE PRESIDENT direct 2000-10-01 2011-03-28
JEVNE, JOSHUA, STEPHEN OWNER JEVNE CORP. 04/01/2013 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER indirect 2013-04-01
HARVEY INVESTMENT COMPANY, LLC SENIOR VICE PRESIDENT direct 2013-06-01
HARVEY INVESTMENT COMPANY, LLC SENIOR VICE PRESIDENT direct 2013-10-01
HARVEY INVESTMENT COMPANY, LLC SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER direct 2013-10-01
HIGHTOWER HOLDING, LLC OWNER WT ACQUISITION, LLC 05/01/2017 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER indirect 2017-05-01
HIGHTOWER ADVISORS, LLC MEMBER direct 2008-07-01
HIGHTOWER NETWORK ADVISORS, LLC MEMBER direct 2013-04-01
HIGHTOWER NETWORK ADVISORS, LLC SHAREHOLDER indirect 2013-04-01
KISSINGER FINANCIAL SERVICES, LLC OWNER indirect 2017-05-01
THL EQUITY FUND VII INVESTORS (HT), LLC OWNER HIGHTOWER HOLDING, LLC 01/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC 50% OWNER OF APPLICANT'S HOLDING COMPANY indirect 2018-01-01
DUNCKER, STREETT & CO., LLC OWNER indirect 2018-01-01

HARVEY INVESTMENT COMPANY, LLC

ownership team - last updated 2020-03-23
Name Title Start Date Direct/Indirect % Ownership

HARVEY INVESTMENT COMPANY, LLC

ownership team - last updated 2019-03-27
Name Title Start Date Direct/Indirect % Ownership
CASTLEMAN CORPORATION OWNER 04/01/2001 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER direct 2001-04-01
JUNIOR D, INC. OWNER 04/01/2001 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER direct 2001-04-01
GRACIE CORP. OWNER 04/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER direct 2001-04-01
HARVEY, SAMUEL, CASTLEMAN PRESIDENT 10/01/2000 Direct less than 5%
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC PRESIDENT direct 2000-10-01
HARVEY INVESTMENT COMPANY, LLC OWNER indirect 2001-04-01
HERRMANN, MARY, LINDER SENIOR VICE PRESIDENT 12/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER indirect 2001-04-01
HARVEY INVESTMENT COMPANY, LLC SENIOR VICE PRESIDENT direct 2011-12-01
HARVEY INVESTMENT COMPANY, LLC VICE PRESIDENT direct 2000-10-01 2011-03-28
JEVNE CORP. OWNER 04/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER direct 2013-04-01
JEVNE, JOSHUA, STEPHEN SENIOR VICE PRESIDENT 10/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER indirect 2013-04-01
HARVEY INVESTMENT COMPANY, LLC SENIOR VICE PRESIDENT direct 2013-06-01
HARVEY INVESTMENT COMPANY, LLC SENIOR VICE PRESIDENT direct 2013-10-01
HARVEY INVESTMENT COMPANY, LLC SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER direct 2013-10-01
NOBLE, SAMUEL, HUNTER SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER 03/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC VICE PRESIDENT direct 2014-03-01
HARVEY INVESTMENT COMPANY, LLC VICE PRESIDENT, CHIEF COMPLIANCE OFFICER direct 2015-03-01
HARVEY INVESTMENT COMPANY, LLC SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER direct 2015-03-01
WT ACQUISITION, LLC OWNER 05/01/2017 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER direct 2017-05-01
KISSINGER FINANCIAL SERVICES, LLC OWNER direct 2017-05-01
BERG, DANIEL, JEREMY SECRETARY & TREASURER 03/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC DIRECTOR, FINANCE direct 2018-05-01
HARVEY, SAMUEL, CASTLEMAN OWNER CASTLEMAN CORPORATION 04/01/2001 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC PRESIDENT direct 2000-10-01
HARVEY INVESTMENT COMPANY, LLC OWNER indirect 2001-04-01
DAVIS, JOHN, JOHNSTON OWNER JUNIOR D, INC. 04/01/2001 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER indirect 2001-04-01
HARVEY INVESTMENT COMPANY, LLC EXECUTIVE VICE PRESIDENT direct 2000-10-01 2004-02-24
HARVEY INVESTMENT COMPANY, LLC EXEC. VP, CHIEF COMPLIANCE OFFICER direct 2000-10-01 2013-06-19
HERRMANN, MARY, LINDER OWNER GRACIE CORP. 04/01/2001 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER indirect 2001-04-01
HARVEY INVESTMENT COMPANY, LLC SENIOR VICE PRESIDENT direct 2011-12-01
HARVEY INVESTMENT COMPANY, LLC VICE PRESIDENT direct 2000-10-01 2011-03-28
JEVNE, JOSHUA, STEPHEN OWNER JEVNE CORP. 04/01/2013 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER indirect 2013-04-01
HARVEY INVESTMENT COMPANY, LLC SENIOR VICE PRESIDENT direct 2013-06-01
HARVEY INVESTMENT COMPANY, LLC SENIOR VICE PRESIDENT direct 2013-10-01
HARVEY INVESTMENT COMPANY, LLC SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER direct 2013-10-01
HIGHTOWER HOLDING, LLC OWNER WT ACQUISITION, LLC 05/01/2017 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER indirect 2017-05-01
HIGHTOWER ADVISORS, LLC MEMBER direct 2008-07-01
HIGHTOWER NETWORK ADVISORS, LLC MEMBER direct 2013-04-01
HIGHTOWER NETWORK ADVISORS, LLC SHAREHOLDER indirect 2013-04-01
KISSINGER FINANCIAL SERVICES, LLC OWNER indirect 2017-05-01
THL EQUITY FUND VII INVESTORS (HT), LLC OWNER HIGHTOWER HOLDING, LLC 01/01/2018 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
HIGHTOWER ADVISORS, LLC 50% OWNER OF APPLICANT'S HOLDING COMPANY indirect 2018-01-01
DUNCKER, STREETT & CO., LLC OWNER indirect 2018-01-01

HARVEY INVESTMENT COMPANY, LLC

ownership team - last updated 2017-06-30
Name Title Start Date Direct/Indirect % Ownership
CASTLEMAN CORPORATION OWNER 04/01/2001 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER direct 2001-04-01
JUNIOR D, INC. OWNER 04/01/2001 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER direct 2001-04-01
GRACIE CORP. OWNER 04/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER direct 2001-04-01
HARVEY, SAMUEL, CASTLEMAN PRESIDENT 10/01/2000 Direct less than 5%
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC PRESIDENT direct 2000-10-01
HARVEY INVESTMENT COMPANY, LLC OWNER indirect 2001-04-01
HERRMANN, MARY, LINDER SENIOR VICE PRESIDENT 12/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER indirect 2001-04-01
HARVEY INVESTMENT COMPANY, LLC SENIOR VICE PRESIDENT direct 2011-12-01
HARVEY INVESTMENT COMPANY, LLC VICE PRESIDENT direct 2000-10-01 2011-03-28
JEVNE CORP. OWNER 04/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER direct 2013-04-01
JEVNE, JOSHUA, STEPHEN SENIOR VICE PRESIDENT 10/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER indirect 2013-04-01
HARVEY INVESTMENT COMPANY, LLC SENIOR VICE PRESIDENT direct 2013-06-01
HARVEY INVESTMENT COMPANY, LLC SENIOR VICE PRESIDENT direct 2013-10-01
HARVEY INVESTMENT COMPANY, LLC SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER direct 2013-10-01
NOBLE, SAMUEL, HUNTER SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER 03/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC VICE PRESIDENT direct 2014-03-01
HARVEY INVESTMENT COMPANY, LLC VICE PRESIDENT, CHIEF COMPLIANCE OFFICER direct 2015-03-01
HARVEY INVESTMENT COMPANY, LLC SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER direct 2015-03-01
CORNE, ROBERT, JEFFERY VICE PRESIDENT AND SECRETARY 05/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
WUNDERLICH SECURITIES, INC. CHIEF FINANCIAL OFFICER direct 2009-11-01
SANDERS MORRIS HARRIS LLC FINOP / VICE PRESIDENT direct 2016-05-01
SMH CAPITAL ADVISORS LLC VP AND SECRETARY direct 2016-05-01
HARVEY INVESTMENT COMPANY, LLC VICE PRESIDENT AND SECRETARY direct 2016-05-01
HOEFER & ARNETT CAPITAL MANAGEMENT, INC. TREASURER direct 2006-07-01
HOWE BARNES CAPITAL MANAGEMENT, INC. TREASURER direct 2005-06-01
DUNCKER, STREETT & CO., LLC VICE PRESIDENT AND SECRETARY direct 2016-05-01
MILLER-GREEN FINANCIAL SERVICES LLC VP AND SECRETARY direct 2016-05-01
DELTA ASSET MANAGEMENT, LLC VICE PRESIDENT AND SECRETARY direct 2016-05-01
KANAWHA CAPITAL MANAGEMENT, LLC VICE PRESIDENT AND SECRETARY direct 2016-05-01
THE RIKOON GROUP, LLC VICE PRESIDENT AND SECRETARY direct 2016-05-01
WEALTHTRUST ARIZONA LLC VICE PRESIDENT AND SECRETARY direct 2016-05-01
WEALTHTRUST FAIRPORT, LLC VICE PRESIDENT AND SECRETARY direct 2016-05-01
WEALTHTRUST AXIOM, LLC VICE PRESIDENT AND SECRETARY direct 2016-05-01
LEONETTI & ASSOCIATES, LLC VICE PRESIDENT AND SECRETARY AND BOARD OF MANAGERS direct 2016-05-01
KISSINGER FINANCIAL SERVICES, LLC VICE PRESIDENT AND SECRETARY direct 2016-07-01
PAGLIUCO, ROBERT, STEVEN MANAGER 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC MANAGER direct 2017-06-01
DUNCKER, STREETT & CO., LLC EVP AND TREASURER direct 2017-06-01
DELTA ASSET MANAGEMENT, LLC EVP AND TREASURER direct 2017-06-01
KANAWHA CAPITAL MANAGEMENT, LLC EXECUTIVE VICE PRESIDENT AND TREASURER direct 2017-06-01
THE RIKOON GROUP, LLC EVP AND TREASURER direct 2017-07-01
WEALTHTRUST ARIZONA LLC EVP AND TREASURER direct 2017-06-01
WEALTHTRUST FAIRPORT, LLC EVP AND TREASURER direct 2008-05-01
HIGHTOWER ADVISORS, LLC CFO, MANAGER direct 2008-05-01
LEONETTI & ASSOCIATES, LLC EXECUTIVE VICE PRESIDENT AND TREASURER direct 2017-06-01
HIGHTOWER NETWORK ADVISORS, LLC CFO, MANAGER direct 2013-04-01
KISSINGER FINANCIAL SERVICES, LLC EVP AND TREASURER direct 2017-06-01
WT ACQUISITION, LLC OWNER 05/01/2017 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER direct 2017-05-01
KISSINGER FINANCIAL SERVICES, LLC OWNER direct 2017-05-01
HARVEY, SAMUEL, CASTLEMAN OWNER CASTLEMAN CORPORATION 04/01/2001 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC PRESIDENT direct 2000-10-01
HARVEY INVESTMENT COMPANY, LLC OWNER indirect 2001-04-01
DAVIS, JOHN, JOHNSTON OWNER JUNIOR D, INC. 04/01/2001 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER indirect 2001-04-01
HARVEY INVESTMENT COMPANY, LLC EXECUTIVE VICE PRESIDENT direct 2000-10-01 2004-02-24
HARVEY INVESTMENT COMPANY, LLC EXEC. VP, CHIEF COMPLIANCE OFFICER direct 2000-10-01 2013-06-19
HERRMANN, MARY, LINDER OWNER GRACIE CORP. 04/01/2001 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER indirect 2001-04-01
HARVEY INVESTMENT COMPANY, LLC SENIOR VICE PRESIDENT direct 2011-12-01
HARVEY INVESTMENT COMPANY, LLC VICE PRESIDENT direct 2000-10-01 2011-03-28
JEVNE, JOSHUA, STEPHEN OWNER JEVNE CORP. 04/01/2013 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER indirect 2013-04-01
HARVEY INVESTMENT COMPANY, LLC SENIOR VICE PRESIDENT direct 2013-06-01
HARVEY INVESTMENT COMPANY, LLC SENIOR VICE PRESIDENT direct 2013-10-01
HARVEY INVESTMENT COMPANY, LLC SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER direct 2013-10-01
HIGHTOWER HOLDING, LLC OWNER WT ACQUISITION, LLC 05/01/2017 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HARVEY INVESTMENT COMPANY, LLC OWNER indirect 2017-05-01
HIGHTOWER ADVISORS, LLC MEMBER direct 2008-07-01
HIGHTOWER NETWORK ADVISORS, LLC MEMBER direct 2013-04-01
HIGHTOWER NETWORK ADVISORS, LLC SHAREHOLDER indirect 2013-04-01
KISSINGER FINANCIAL SERVICES, LLC OWNER indirect 2017-05-01

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