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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

NEWFOUND INVESTMENTS, LLC

CRD 165574

HARTFORD, CT

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:1abee3e2-94c1-d027-e556-3741e398fd70

Data as of May 7, 2015 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:58 PM UTC and rebuilt at most every 15 minutes.

Relationships: 27
Dated events: 1
On other graphs: 0
Observed: Oct 12, 2012 to May 7, 2015
7 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $6.0MItem 5.F on the latest filing (2015-05-07); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $6.0M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3
Advisory employees: 2
Accounts: 3
SEC number: 801-77272
CRD: 165574
Filings on the tape: 7
First filed: Oct 12, 2012
Latest filed: May 7, 2015
Organised: Limited Liability Company, Delaware

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
ANGERTHAL, MICHAEL, AARON	MANAGER & EXECUTIVE VICE PRESIDENT AND TREASURER	Na	yes	10/2012	Oct 12, 2012	May 7, 2015
AYLWARD, GEORGE, ROBERT	MANAGER & PRESIDENT & CHAIRMAN	Na	yes	10/2012	Oct 12, 2012	May 7, 2015
FLYNN, MARK, STEPHEN	EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL AND ASSISTANT SECRETARY	Na	yes	10/2012	Oct 12, 2012	May 7, 2015
NEWFOUND HOLDINGS LLC	Member	D	yes	08/2008	Oct 12, 2012	May 7, 2015
NEWFOUND RESEARCH LLC	Member	C	yes	10/2012	Oct 12, 2012	May 7, 2015
PYTLIK, YVONNE, I (MI ONLY)	CORPORATE HEAD OF COMPLIANCE	Na	yes	06/2013	Mar 28, 2014	May 7, 2015
ROSEDALE, THOMAS, BRIAN	Manager	Na	yes	10/2012	Oct 12, 2012	May 7, 2015
ROSEDALE, THOMAS, BRIAN	Member	D	yes	08/2008	Oct 12, 2012	May 7, 2015
VIRTUS INVESTMENT PARTNERS, INC.	Shareholder	E	yes	11/2008	Oct 12, 2012	May 7, 2015
VIRTUS PARTNERS, INC.	Member	D	yes	07/2012	Oct 12, 2012	May 7, 2015
WALTMAN, FRANCIS, GEORGE	EXECUTIVE VICE PRESIDENT	Na	yes	10/2012	Oct 12, 2012	May 7, 2015
CARR, KEVIN, JOHN	SENIOR VICE PRESIDENT AND SECRETARY	Na	no	10/2012	Oct 12, 2012	May 7, 2015
FUSCO, DAVID, ELLIOT	VICE PRESIDENT, COMPLIANCE	Na	no	10/2012	Oct 12, 2012	May 7, 2015
HANLEY, DAVID, GEORGE	VICE PRESIDENT AND ASSISTANT TREASURER	Na	no	10/2012	Oct 12, 2012	May 7, 2015
HOFFSTEIN, COREY, MICHAEL	CHIEF INVESTMENT OFFICER	Na	no	10/2012	Oct 12, 2012	May 7, 2015
SENA, JAMES, ROBERT	VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER	Na	no	04/2015	May 7, 2015	May 7, 2015

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
VIRTUS INVESTMENT ADVISERS, INC.	n/a	Asset manager	$52B	N	yes	n/a
KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC	n/a	Mixed wealth	$39B	N	yes	n/a
DUFF & PHELPS INVESTMENT MANAGEMENT CO.	n/a	Asset manager	$13B	N	yes	n/a
NEWFLEET ASSET MANAGEMENT, LLC	n/a	Former SEC adviser	$10B	N	yes	n/a
ETFIS CAPITAL LLC	n/a	Other adviser	$1.4B	N	yes	n/a
RAMPART INVESTMENT MANAGEMENT COMPANY, LLC	n/a	Former SEC adviser	$1.2B	N	yes	n/a
NEWFOUND RESEARCH LLC	n/a	Asset manager	$1.1B	Y	yes	n/a
VIRTUS ALTERNATIVE INVESTMENT ADVISERS, INC.	n/a	Asset manager	$1.1B	N	yes	n/a
CLIFFWATER INVESTMENTS LLC	n/a	Former SEC adviser	$152M	N	yes	n/a
BRL LAW GROUP LLC	n/a	n/a	n/a	N	yes	n/a
ETF DISTRIBUTORS LLC	n/a	n/a	n/a	N	yes	n/a
EUCLID ADVISORS LLC	n/a	Former SEC adviser	n/a	N	yes	n/a
VP DISTRIBUTORS LLC	n/a	n/a	n/a	N	yes	n/a
ZWEIG ADVISERS LLC	n/a	Former SEC adviser	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Boston	Ma	United States	n/a	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2014	Mar 31, 2015	$6.0M	$6.0M	3	2	n/a	n/a	n/a
2013	Mar 28, 2014	$4.5M	$4.5M	3	2	n/a	n/a	n/a
2012	Mar 28, 2013	$3.0M	$3.0M	3	2	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2014	$6.0M	$4.5M	33.7%	n/a	n/a	3	3	n/a	n/a

Relationships

Affiliated with (11)

→ NEWFLEET ASSET MANAGEMENT, LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
→ KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ VIRTUS INVESTMENT ADVISERS, LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ DUFF & PHELPS INVESTMENT MANAGEMENT CO.Registered adviserother investment adviser, bank, common control
factForm ADV
→ ZWEIG ADVISERS LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
→ EUCLID ADVISORS LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
→ VIRTUS ALTERNATIVE INVESTMENT ADVISERS, LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
→ NEWFOUND RESEARCH LLCRegistered adviserother investment adviser, control, common control
factForm ADV
→ RAMPART INVESTMENT MANAGEMENTRegistered adviserother investment adviser, common control
factForm ADV
→ VIRTUS ADVISERS, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ CLIFFWATER INVESTMENTS LLCRegistered adviserother investment adviser, common control
factForm ADV

Controls (10)

← NEWFOUND RESEARCH LLCOwnerMEMBER, ownership code C, domestic entity
Oct 12, 2012 to presentfactForm ADV
← WALTMAN, FRANCIS, GEORGEOwnerEXECUTIVE VICE PRESIDENT, ownership code NA, individual
Oct 12, 2012 to presentfactForm ADV
← PYTLIK, YVONNE, I (MI ONLY)OwnerCORPORATE HEAD OF COMPLIANCE, ownership code NA, individual
Mar 28, 2014 to presentfactForm ADV
← AYLWARD, GEORGE, ROBERTOwnerMANAGER & PRESIDENT & CHAIRMAN, ownership code NA, individual
Oct 12, 2012 to presentfactForm ADV
← ANGERTHAL, MICHAEL, AARONOwnerMANAGER & EXECUTIVE VICE PRESIDENT AND TREASURER, ownership code NA, individual
Oct 12, 2012 to presentfactForm ADV
← ROSEDALE, THOMAS, BRIANOwnerMEMBER, ownership code D, individual
Oct 12, 2012 to presentfactForm ADV
← FLYNN, MARK, STEPHENOwnerEXECUTIVE VICE PRESIDENT, GENERAL COUNSEL AND ASSISTANT SECRETARY, ownership code NA, individual
Oct 12, 2012 to presentfactForm ADV
← NEWFOUND HOLDINGS LLCOwnerMEMBER, ownership code D, domestic entity
Oct 12, 2012 to presentfactForm ADV
← VIRTUS INVESTMENT PARTNERS, INC.OwnerSHAREHOLDER, ownership code E, domestic entity
Oct 12, 2012 to presentfactForm ADV
← VIRTUS PARTNERS, INC.OwnerMEMBER, ownership code D, domestic entity
Oct 12, 2012 to presentfactForm ADV

Owns (5)

← FUSCO, DAVID, ELLIOTOwnerVICE PRESIDENT, COMPLIANCE, ownership code NA, individual
Oct 12, 2012 to presentfactForm ADV
← CARR, KEVIN, JOHNOwnerSENIOR VICE PRESIDENT AND SECRETARY, ownership code NA, individual
Oct 12, 2012 to presentfactForm ADV
← SENA, JAMES, ROBERTOwnerVICE PRESIDENT AND CHIEF COMPLIANCE OFFICER, ownership code NA, individual
May 7, 2015 to presentfactForm ADV
← HANLEY, DAVID, GEORGEOwnerVICE PRESIDENT AND ASSISTANT TREASURER, ownership code NA, individual
Oct 12, 2012 to presentfactForm ADV
← HOFFSTEIN, COREY, MICHAELOwnerCHIEF INVESTMENT OFFICER, ownership code NA, individual
Oct 12, 2012 to presentfactForm ADV

Dated events

Occurred
Oct 12, 2012
First Form ADV filing
Vp Advisers, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1abee3e2-94c1-d027-e556-3741e398fd70
First observed: Oct 12, 2012
Last observed: May 7, 2015 138 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

NEWFOUND INVESTMENTS, LLC

CRD 165574

HARTFORD, CT

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:1abee3e2-94c1-d027-e556-3741e398fd70

Data as of May 7, 2015 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:58 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ANGERTHAL, MICHAEL, AARON

MANAGER & EXECUTIVE VICE PRESIDENT AND TREASURER

yes

10/2012

Oct 12, 2012

May 7, 2015

AYLWARD, GEORGE, ROBERT

MANAGER & PRESIDENT & CHAIRMAN

yes

10/2012

Oct 12, 2012

May 7, 2015

FLYNN, MARK, STEPHEN

EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL AND ASSISTANT SECRETARY

yes

10/2012

Oct 12, 2012

May 7, 2015

NEWFOUND HOLDINGS LLC

Member

yes

08/2008

Oct 12, 2012

May 7, 2015

NEWFOUND RESEARCH LLC

Member

yes

10/2012

Oct 12, 2012

May 7, 2015

PYTLIK, YVONNE, I (MI ONLY)

CORPORATE HEAD OF COMPLIANCE

yes

06/2013

Mar 28, 2014

May 7, 2015

ROSEDALE, THOMAS, BRIAN

Manager

yes

10/2012

Oct 12, 2012

May 7, 2015

ROSEDALE, THOMAS, BRIAN

Member

yes

08/2008

Oct 12, 2012

May 7, 2015

VIRTUS INVESTMENT PARTNERS, INC.

Shareholder

yes

11/2008

Oct 12, 2012

May 7, 2015

VIRTUS PARTNERS, INC.

Member

yes

07/2012

Oct 12, 2012

May 7, 2015

WALTMAN, FRANCIS, GEORGE

EXECUTIVE VICE PRESIDENT

yes

10/2012

Oct 12, 2012

May 7, 2015

CARR, KEVIN, JOHN

SENIOR VICE PRESIDENT AND SECRETARY

10/2012

Oct 12, 2012

May 7, 2015

FUSCO, DAVID, ELLIOT

VICE PRESIDENT, COMPLIANCE

10/2012

Oct 12, 2012

May 7, 2015

HANLEY, DAVID, GEORGE

VICE PRESIDENT AND ASSISTANT TREASURER

10/2012

Oct 12, 2012

May 7, 2015

HOFFSTEIN, COREY, MICHAEL

CHIEF INVESTMENT OFFICER

10/2012

Oct 12, 2012

May 7, 2015

SENA, JAMES, ROBERT

VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER

04/2015

May 7, 2015

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

VIRTUS INVESTMENT ADVISERS, INC.

n/a

Asset manager

$52B

yes

n/a

KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC

n/a

Mixed wealth

$39B

yes

n/a

DUFF & PHELPS INVESTMENT MANAGEMENT CO.

n/a

Asset manager

$13B

yes

n/a

NEWFLEET ASSET MANAGEMENT, LLC

n/a

Former SEC adviser

$10B

yes

n/a

ETFIS CAPITAL LLC

n/a

Other adviser

$1.4B

yes

n/a

RAMPART INVESTMENT MANAGEMENT COMPANY, LLC

n/a

Former SEC adviser

$1.2B

yes

n/a

NEWFOUND RESEARCH LLC

n/a

Asset manager

$1.1B

yes

n/a

VIRTUS ALTERNATIVE INVESTMENT ADVISERS, INC.

n/a

Asset manager

$1.1B

yes

n/a

CLIFFWATER INVESTMENTS LLC

n/a

Former SEC adviser

$152M

yes

n/a

BRL LAW GROUP LLC

n/a

yes

n/a

ETF DISTRIBUTORS LLC

n/a

yes

n/a

EUCLID ADVISORS LLC

n/a

Former SEC adviser

n/a

yes

n/a

VP DISTRIBUTORS LLC

n/a

yes

n/a

ZWEIG ADVISERS LLC

n/a

Former SEC adviser

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Boston

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2014

Mar 31, 2015

$6.0M

n/a

2013

Mar 28, 2014

$4.5M

n/a

2012

Mar 28, 2013

$3.0M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2014

$6.0M

$4.5M

33.7%

n/a