HARVEST VOLATILITY MANAGEMENT, LLC – investment adviser, $217M regulatory AUM (Form ADV)

Who they report serving

Form ADV · Item 5.D

Client types and their share of reported regulatory assets.

Client type	Clients	Regulatory assets	Share of AUM
High-net-worth individuals	61	$195,705,787	90.3%
Corporations & businesses	Fewer than 5	$20,916,711	9.7%

Filing source

Form ADV 1903837 · Oct 11, 2024 · Item 5.D

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Private funds & service providers

3 Private funds

The count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.

HARVEST EDGE RISK PREMIUM EQUITY COLLECTIVE INVESTMENT TRUSTOther Private Fund · Last reported Mar 21, 2022$117MGross asset value

Fund administrator BENEFIT TRUST COMPANY OVERLAND PARK, Kansas, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor MAYER HOFFMAN MCCANN P.C. KANSAS CITY, Missouri, United States

Custodian MORGAN STANLEY SMITH BARNEY LLC NEW YORK, New York, United States Related to adviser: No

Custodian STATE STREET BANK AND TRUST COMPANY BOSTON, Massachusetts, United States Related to adviser: No

Prime broker MORGAN STANLEY NEW YORK, New York, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

MAYER HOFFMAN MCCANN P.C.
PCAOB 199

MORGAN STANLEY SMITH BARNEY LLC
SEC 8-68191

STATE STREET BANK AND TRUST COMPANY
LEI 571474TGEMMWANRLN572

MORGAN STANLEY
CRD 149777 · SEC 8-68191

Fund details & source

Fund ID: 805-6041728488
Reported beneficial owners: 1
Minimum commitment: $0

Form ADV 1620649 · Mar 21, 2022 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

HARVEST EDGE GLOBAL RISK PREMIA EQUITY LPHedge Fund · Last reported Mar 21, 2022$61.6MGross asset value

Fund administrator CITCO (CANADA) INC. TORONTO, Canada Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor MARCUM LLP MELVILLE, New York, United States

Custodian MORGAN STANLEY SMITH BARNEY LLC NEW YORK, New York, United States Related to adviser: No

Custodian THE BANK OF NEW YORK MELLON NEW YORK, New York, United States Related to adviser: No

Prime broker MORGAN STANLEY NEW YORK, New York, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

MARCUM LLP
PCAOB 688

MORGAN STANLEY SMITH BARNEY LLC
SEC 8-68191

THE BANK OF NEW YORK MELLON
LEI HPFHU0OQ28E4N0NFVK49

MORGAN STANLEY
CRD 149777 · SEC 8-68191

Fund details & source

Fund ID: 805-6631364111
Reported beneficial owners: 6
Minimum commitment: $1M
Form D file number: 021-313979

Form ADV 1620649 · Mar 21, 2022 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

HARVEST VOLATILITY ALPHA FUND LPHedge Fund · Last reported Mar 24, 2017$18.7MGross asset value

Form D fundraising filings

Harvest Volatility Alpha Fund, LP

Fund administrator PARTNERSADMIN LLC MANHATTAN BEACH, California, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor MARCUM LLP NEW YORK, New York, United States

Custodian BNY MELLON SECURITIES LLC NEW YORK, New York, United States Related to adviser: No

Custodian CITIBANK NA NEW YORK, New York, United States Related to adviser: No

Custodian MORGAN STANLEY & CO. LLC NEW YORK, New York, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

BNY MELLON SECURITIES LLC
SEC 8-51710

MORGAN STANLEY & CO. LLC
SEC 8-15869

Fund details & source

Fund ID: 805-2095550834
Reported beneficial owners: 20
Minimum commitment: $1M
Form D file number: 021-138815

Form ADV 1080053 · Mar 24, 2017 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Services & filing details

Most recent filing: Oct 11, 2024. View historical filings

Reported services

Individual portfolio management · Business portfolio management

Compensation

Percentage of assets · Performance-based

Principal office

101 MERRITT 7 CORPORATE PARK, 3RD FLOOR
NORWALK, CT, 06851, United States

CRD 146869

Filing source

Form ADV 1903837 · Oct 11, 2024 · Items 1 & 5

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.