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HARVEST VOLATILITY MANAGEMENT, LLC

NORWALK, CT · CRD 146869 · IAPD ↗ · harvestvolatilitymanagement.com · 203-307-0600

$216.6MRegulatory AUM
5Advisory reps
5Employees
69Clients
n/aPlanning clients
0Private funds
21States
3Disclosures
wealthSegment
ApprovedSEC status

Filing changes

60
February 2025 — HARVEST VOLATILITY MANAGEMENT, LLC (NORWALK, CT) left the SEC roster (was $216.6M RAUM, 5 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
50
November 2024 — HARVEST VOLATILITY MANAGEMENT, LLC's Item 11 disclosure-reporting entries rose by 3 (0 -> 3).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
45
April 2024 — HARVEST VOLATILITY MANAGEMENT, LLC reported RAUM down 89% ($1.94B -> $216.6M).
Regulatory AUM down >=25% since last filing.
M&A & valuationRecruiting & transitions
50
April 2024 — HARVEST VOLATILITY MANAGEMENT, LLC shrank from 13 to 5 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.