Harvey has been in business since 2000. We provide our clients with investment management services consisting primarily of discretionary asset management through the use of equity and balanced (between equity securities such as stocks and fixed income securities such as municipal or government bonds) portfolios. We also provide non-discretionary investment management services under which we provide investment advice to the client as to the investment or reinvestment of its assets with the client being responsible for acceptance and implementation of the advice but this service is provided on a limited basis as requested. Our services and processes are designed to determine and address each client’s specific investment needs based on interviews and meetings with our clients designed to collect information as to the client’s investment circumstances, objectives, time horizon expectations, past investment experience as well as risk tolerance. The client may also impose restrictions on our ability to implement particular types of investments on its behalf if that is the client’s preference. We then implement an investment strategy for our clients based upon the information collected. As part of our use of equity portfolios, we offer clients, depending upon their specific investment needs, the ability to participate in our Harvey Focus Portfolios in which the client’s assets are invested primarily in the stocks of a more consolidated group of companies, focused on medium-sized companies. We do not provide legal, tax or accounting advice or services and you should not assume that we are providing you such services at any time. Also, you should understand that, generally speaking, securities or other investments for which we provide advice to you are not deposits or obligations of any bank, are not endorsed or guaranteed by any bank and are not insured by the Federal Deposit Insurance Corporation, the Federal Reserve Board or any other governmental agency and that neither Harvey nor any of its affiliated companies is

a trust or banking institution. Some of our clients may be involved in “wrap fee” arrangements with certain brokerage firms which sponsor such arrangements. Under a wrap fee arrangement, a brokerage firm may recommend retention of Harvey to manage all or a portion of your assets; pay us our fee for our services; monitor and evaluate our services in managing your assets; execute securities transactions which we implement on your behalf; and provide you with custodial services for your assets, or the brokerage firm may provide any combination of these services, for a set fee to be paid by you to the brokerage firm. Under a wrap fee arrangement, your assets would be managed by us in the same manner as assets managed by us for our clients not in a wrap fee arrangement although this would be subject to your particular investment needs and objectives and we may have limited or minimal contact with you where the brokerage firm maintains the direct and primary relationship with you. You should understand that, depending upon the amount of the wrap fee the brokerage firm charges you, the number of securities transactions in your account, the value of custodial or other services you will receive under the arrangement, the amount of the wrap fee may or may not be less than the total cost for such services added together if you obtained them separately and therefore such arrangement may not be suitable for all clients based on the client’s individual financial circumstances and investment goals. You can find more specific information on each wrap fee arrangement in the Wrap Fee Program Brochure which should be available to you from the wrap fee arrangement sponsor. Harvey does not act as a sponsor of any wrap fee arrangements. The principal owners of Harvey are WT Acquisition, LLC and Samuel Harvey. The ultimate owner of WT Acquisition, LLC is HighTower Holding, LLC. Our firm manages $913,288,498 on a discretionary basis, for a total of $913,288,498 regulatory assets under management as of December 31, 2023.