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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

SCARBOROUGH CAPITAL MANAGEMENT, INC.

CRD 107402

ANNAPOLIS, MD

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:1db72656-5188-ea27-9e91-d1bfdd61ec1f

Data as of Jun 5, 2013 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 29
Dated events: 0
On other graphs: 0
Observed: Mar 29, 2012 to Jun 5, 2013
4 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: $996MItem 5.F on the latest filing (2013-06-05); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $996M
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: 13
Advisory employees: 13
Accounts: 4,253
SEC number: 801-37472
CRD: 107402
Filings on the tape: 4
First filed: Mar 29, 2012
Latest filed: Jun 5, 2013
Organised: Corporation, Maryland

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
LERRO, JAMES, EDWARD	CHIEF COMPLIANCE OFFICER, DIRECTOR	Na	yes	07/2004	Mar 29, 2012	Jun 5, 2013
OSTROWSKI, GREGORY, SIGISMUND	CHIEF OPERATING OFFICER	Na	yes	10/2008	Mar 29, 2012	Jun 5, 2013
SCARBOROUGH, JOSEPH, MICHAEL	PRESIDENT & CEO, SECRETARY, SHAREHOLDER	E	yes	08/1987	Mar 29, 2012	Jun 5, 2013
SPRINKEL, JAMES, FREDERICK	VICE PRESIDENT, TREASURER, DIRECTOR	Na	no	11/2004	Mar 29, 2012	Jun 5, 2013

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
RETIREMENT MANAGEMENT SYSTEMS, INC.	n/a	Independent wealth	$1.9B	N	yes	n/a

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
2012	Mar 28, 2013	$939M	$939M	13	13	n/a	n/a	n/a
2011	Mar 29, 2012	$870M	$870M	n/a	n/a	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
2012	$996M	$870M	14.5%	n/a	n/a	13	n/a	n/a	n/a

Relationships

Affiliated with (1)

→ RETIREMENT MANAGEMENT SYSTEMSRegistered adviserother investment adviser, common control
factForm ADV

Controls (3)

← SCARBOROUGH, JOSEPH, MICHAELOwnerPRESIDENT & CEO, SECRETARY, SHAREHOLDER, ownership code E, individual
Mar 29, 2012 to presentfactForm ADV
← OSTROWSKI, GREGORY, SIGISMUNDOwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← LERRO, JAMES, EDWARDOwnerCHIEF COMPLIANCE OFFICER, DIRECTOR, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV

Owns (1)

← SPRINKEL, JAMES, FREDERICKOwnerVICE PRESIDENT, TREASURER, DIRECTOR, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV

Registered with (23)

← DAVID ALAN HERMANAdvisorregistration: previous registration
May 20, 2003 to Jan 29, 2014factForm ADV
← IAN ARROWSMITHAdvisorregistration: previous registration
Aug 17, 1999 to Jan 29, 2014factForm ADV
← RYAN ALEXANDER ANSTEDAdvisorregistration: previous registration
Jan 14, 2002 to Jan 29, 2014factForm ADV
← SHAWN JOSEPH WALKERAdvisorregistration: previous registration
Oct 4, 2000 to Jan 29, 2014factForm ADV
← JAMES FREDERICK SPRINKELAdvisorregistration: previous registration
Oct 30, 2002 to Jan 29, 2014factForm ADV
← JOHN MARTIN BLAMPHINAdvisorregistration: previous registration
Nov 18, 2009 to Jan 29, 2014factForm ADV
← GREGORY SIGISMUND OSTROWSKIAdvisorregistration: previous registration
Mar 24, 2003 to Jan 29, 2014factForm ADV
← JOSHUA PAUL GOLDSMITHAdvisorregistration: previous registration
Feb 23, 2005 to Jan 29, 2014factForm ADV
← JONATHAN WALTER SZOSTEKAdvisorregistration: previous registration
Jan 3, 2008 to Jan 29, 2014factForm ADV
← DAVID ALLEN SIZEMOREAdvisorregistration: previous registration
Jul 19, 2011 to Jan 29, 2014factForm ADV
← JOSEPH MICHAEL SCARBOROUGHAdvisorregistration: previous registration
Jan 1, 1992 to Dec 17, 2013factForm ADV
← MORGAN ALEXANDRA KELLYAdvisorregistration: previous registration
Mar 12, 2013 to Jun 28, 2013factForm ADV
← IVORY JEROME JOHNSONAdvisorregistration: previous registration
Jul 5, 2001 to Apr 9, 2012factForm ADV
← CHRISTOPHER TODD WILHOITAdvisorregistration: previous registration
May 8, 2003 to Jan 6, 2005factForm ADV
← MATTHEW DAVID SOBOCINSKIAdvisorregistration: previous registration
Apr 19, 1999 to Mar 31, 2003factForm ADV
← PAUL STEVEN CIECWIERZAdvisorregistration: previous registration
Mar 12, 1996 to Mar 11, 2003factForm ADV
← PAUL EDWARD PECKAdvisorregistration: previous registration
Aug 5, 1998 to Mar 11, 2003factForm ADV
← ROBERT DOUGLAS WILSONAdvisorregistration: previous registration
Feb 2, 1995 to Mar 11, 2003factForm ADV
← MICHELE ELIZABETH RIORDANAdvisorregistration: previous registration
Sep 1, 1998 to Feb 28, 2003factForm ADV
← MARYLYNNE PRICEAdvisorregistration: previous registration
Aug 11, 1997 to Feb 3, 2003factForm ADV
← Jonathan Cory GimperlingAdvisorregistration: previous registration
Apr 19, 1999 to Feb 3, 2003factForm ADV
← Marilyn FREED AllenAdvisorregistration: previous registration
Jan 1, 1997 to Jan 6, 2003factForm ADV
← ERIC CHARLES SILKAdvisorregistration: previous registration
Oct 9, 1997 to Nov 1, 2002factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1db72656-5188-ea27-9e91-d1bfdd61ec1f
First observed: Mar 29, 2012
Last observed: Jun 5, 2013 161 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.

SCARBOROUGH CAPITAL MANAGEMENT, INC.

CRD 107402

ANNAPOLIS, MD

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:1db72656-5188-ea27-9e91-d1bfdd61ec1f

Data as of Jun 5, 2013 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:19 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

LERRO, JAMES, EDWARD

CHIEF COMPLIANCE OFFICER, DIRECTOR

yes

07/2004

Mar 29, 2012

Jun 5, 2013

OSTROWSKI, GREGORY, SIGISMUND

CHIEF OPERATING OFFICER

yes

10/2008

Mar 29, 2012

Jun 5, 2013

SCARBOROUGH, JOSEPH, MICHAEL

PRESIDENT & CEO, SECRETARY, SHAREHOLDER

yes

08/1987

Mar 29, 2012

Jun 5, 2013

SPRINKEL, JAMES, FREDERICK

VICE PRESIDENT, TREASURER, DIRECTOR

11/2004

Mar 29, 2012

Jun 5, 2013

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

RETIREMENT MANAGEMENT SYSTEMS, INC.

n/a

Independent wealth

$1.9B

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2012

Mar 28, 2013

$939M

n/a

2011

Mar 29, 2012

$870M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2012

$996M

$870M

14.5%

n/a