HARVEST CAPITAL STRATEGIES LLC of SAN FRANCISCO, CA is an SEC-registered investment adviser (CRD 130037). Regulatory assets under management: $1.1M.
Compensation: % of AUM, Performance, Other.
Clients served: Investment cos, Other.
| Name | Role | Location |
|---|---|---|
| Raymond Siva Jackson | PRESIDENT AND CHIEF FINANCIAL OFFICER | San Francisco, CA |
| John Frederick Carlin | DIRECTOR | — |
| Allison Ronli Mcnamara | CHIEF COMPLIANCE OFFICER | — |
| CARLIN JOHN FREDERICK | DIRECTOR | — |
| JOLSON JOSEPH ANDREW | CEO; CEO OF HARVEST CAPITAL STRATEGIES LLC; CEO OF HARVEST CAPITAL STRATEGIES LLC AND CRATOS CDO MANAGEMENT LLC (+2 more) | — |
| TARKOFF JANET LORAINE | CLO; CLO OF HARVEST CAPITAL STRATEGIES LLC AND CRATOS CDO MANAGEMENT LLC | — |
| JACKSON RAYMOND SIVA | CHIEF FINANCIAL OFFICER; CHIEF FINANCIAL OFFICER OF HARVEST CAPITAL STRATEGIES LLC; PRESIDENT AND CHIEF FINANCIAL OFFICER | — |
| LYNCH KEVIN CHRISTOPHER | CHIEF COMPLIANCE OFFICER OF HARVEST CAPITAL STRATEGIES LLC AND CRATOS CDO MANAGEMENT LLC; CHIEF COMPLIANCE OFFICER OF HARVEST CAPITAL STRATEGIES LLC, JMP CREDIT ADVISORS LLC, AND CRATOS CDO MANAGEMENT LLC; CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER (+3 more) | — |
| MOGAVERO EGIDIO | CCO; CHIEF COMPLIANCE OFFICER | — |
| JOHNSON CRAIG RANDALL | CHAIRMAN; CHAIRMAN OF HARVEST CAPITAL STRATEGIES LLC | — |
| MIKLOSI CHANTAL | CHIEF FINANCIAL OFFICER | — |
| KITCHIN CRAIG ROBERT | CHIEF FINANCIAL OFFICER OF CRATOS CDO MANAGEMENT LLC; CHIEF FINANCIAL OFFICER OF JMP CREDIT ADVISORS LLC AND CRATOS CDO MANAGEMENT LLC | — |
| SOLOMON SCOTT ALAN | CHIEF LEGAL OFFICER; CLO OF HARVEST CAPITAL STRATEGIES LLC, JMP CREDIT ADVISORS LLC, AND CRATOS CDO MANAGEMENT LLC | — |
| LEFEBVRE RENEE | CHIEF ADMINISTRATIVE OFFICER OF JMP CREDIT ADVISORS LLC AND CRATOS CDO MANAGEMENT LLC; CHIEF OPERATIONS OFFICER OF CRATOS CDO MANAGEMENT LLC | — |
| HAMM BRYAN B | PRESIDENT OF JMP CREDIT ADVISORS LLC AND CRATOS CDO MANAGEMENT LLC | — |
| Rosenberg Zachary Seth | CHIEF COMPLIANCE OFFICER | — |
| Conroy Walter Ivor | CHIEF LEGAL OFFICER | — |
| McNamara Allison Ronli | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2015-10-14 | regulatory | RULE 105 OF REGULATION M: SEC ALLEGES THAT IN MAY 2014, REGISTRANT BOUGHT OFFERING SHARES FROM AN UNDERWRITER OR BROKER OR DEALER PARTICIPATING IN A FOLLOW-ON PUBLIC OFFERING AFTER HAVING SOLD SHORT THE SAME SECURITY DURING THE RULE 105 RESTRICTED PERIOD. | Final | $65K |
| 2015-08-12 | regulatory | ON AUGUST 12, 2015, THE U.S. CONSUMER FINANCIAL PROTECTION BUREAU ("CFPB") ISSUED A CONSENT ORDER ("CFPB ORDER") AGAINST CITIZENS FINANCIAL GROUP, INC.; CITIZENS BANK, N.A.; AND/OR CITIZENS BANK OF PENNSYLVANIA (COLLECTIVELY, THE "BANKS") RELATING TO DEPOSIT RECONCILIATION PRACTICES FROM JANUARY 200… | Final | $7.5M |
| Fund | Type | Formed | Owners | Gross asset value | Min investment |
|---|---|---|---|---|---|
| JMP MASTERS FUND, LP | Hedge Fund | California | 21 | $1.1M | $1.0M |