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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 100m 1b

ALAPOCAS INVESTMENT PARTNERS, INC.

CRD 300841

BEVERLY, MA

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:37b7b789-2eee-e795-0525-9cdbd0a5f3ea

Data as of Aug 28, 2025 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:52 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 8
On other graphs: 0
Observed: Feb 26, 2019 to Aug 28, 2025
14 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: $207MItem 5.F on the latest filing (2025-08-28); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $207M
Private client RAUM: $154MderivedItem 5.D individuals plus high net worth individuals
Private client share: 74%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 118
Individual clients: 21
High net worth clients: 30
Custody, client assets: $82.6M
SEC number: 801-114902
CRD: 300841
Filings on the tape: 14
First filed: Feb 26, 2019
Latest filed: Aug 28, 2025
Organised: Corporation, MA

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
ESTATE OF DAVID W. LEMONS	Owner	E	yes	08/2024	Sep 5, 2024	Sep 13, 2024
LITTLEHALE, NANCY C	PERSONAL REPRESENTATIVE OF ESTATE OF DAVID W LEMONS	F	yes	09/2024	Sep 13, 2024	Sep 13, 2024
LITTLEHALE, NANCY C	President	Na	yes	09/2024	Sep 13, 2024	Sep 13, 2024
MOK, LAURA	CHIEF COMPLIANCE OFFICER	Na	yes	08/2024	Sep 5, 2024	Sep 13, 2024

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	Private funds	Fund GAV
2024	Apr 29, 2025	$207M	$207M	4	2	n/a	n/a
2023	Mar 27, 2024	$193M	$193M	3	2	n/a	n/a
2022	Mar 21, 2023	$135M	$135M	3	2	n/a	n/a
2021	Mar 30, 2022	$170M	$170M	4	2	n/a	n/a
2020	Mar 30, 2021	$252M	$132M	3	1	n/a	n/a
2019	Mar 26, 2020	$213M	$96.7M	3	1	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	2	-2	n/a	0	0	0	0	2

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
2024	$207M	$193M	6.8%	$170M	6.6%	4	3	0	0

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
PARK STATE ASSET MANAGEMENT LLC	2	Oct 28, 2025	Aug 19, 2025	BEVERLY, MA	Team lift out	RIA to RIA	100.0%

Relationships

Registered with (2)

← LAURA MOKAdvisorregistration: previous registration
Aug 27, 2024 to Oct 28, 2025factForm ADV
← Daniel Alden CarmanAdvisorregistration: previous registration
Aug 15, 2024 to Oct 28, 2025factForm ADV

Moved with (1)

→ PARK STATE ASSET MANAGEMENT LLCRegistered adviser2 advisors, team lift out, same day
Oct 28, 2025 to Aug 19, 2025factForm ADV

Controls (3)

← MOK, LAURAOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Sep 5, 2024 to Sep 13, 2024factForm ADV
← ESTATE OF DAVID W. LEMONSOwnerOWNER, ownership code E, domestic entity
Sep 5, 2024 to Sep 13, 2024factForm ADV
← LITTLEHALE, NANCY COwnerPERSONAL REPRESENTATIVE OF ESTATE OF DAVID W LEMONS, ownership code F, individual
Sep 13, 2024 to Sep 13, 2024factForm ADV

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Oct 28, 2025
Team lift-out
2 advisors left Alapocas Investment Partners, Inc. (Beverly, MA) for Park State Asset Management LLC on the same day
Form ADVobserved 5 days ago
2 advisors
Occurred
Oct 28, 2025
Advisor changed firm
Laura Mok left Alapocas Investment Partners, Inc. for Park State Asset Management Llc (registered 2025-08-19)
Form ADVobserved 5 days ago
Occurred
Oct 28, 2025
Advisor changed firm
Daniel Alden Carman left Alapocas Investment Partners, Inc. for Park State Asset Management Llc (registered 2025-08-06)
Form ADVobserved 5 days ago
Occurred
Sep 13, 2024
Control person joined
Nancy C Littlehale (President) appeared on Schedule A of Alapocas Investment Partners, Inc.
Form ADVobserved 5 days ago
Occurred
Sep 5, 2024
Control person joined
Laura Mok (Chief Compliance Officer) appeared on Schedule A of Alapocas Investment Partners, Inc.
Form ADVobserved 5 days ago
Occurred
Sep 5, 2024
Control person left
Wayne David Lemons (President And Chief Compliance Officer) no longer on Schedule A of Alapocas Investment Partners, Inc. (listed 2024-04-09, absent 2024-09-05)
Form ADVobserved 5 days ago
Occurred
Feb 26, 2019
First Form ADV filing
Alapocas Partners filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Show 1 bookkeeping events

Occurred
Dec 20, 2025
Alapocas Investment Partners, Inc. no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $206.6M)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:37b7b789-2eee-e795-0525-9cdbd0a5f3ea
First observed: Feb 26, 2019
Last observed: Aug 28, 2025 12 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.

ALAPOCAS INVESTMENT PARTNERS, INC.

CRD 300841

BEVERLY, MA

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:37b7b789-2eee-e795-0525-9cdbd0a5f3ea

Data as of Aug 28, 2025 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:52 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ESTATE OF DAVID W. LEMONS

Owner

yes

08/2024

Sep 5, 2024

Sep 13, 2024

LITTLEHALE, NANCY C

PERSONAL REPRESENTATIVE OF ESTATE OF DAVID W LEMONS

yes

09/2024

Sep 13, 2024

LITTLEHALE, NANCY C

President

yes

09/2024

Sep 13, 2024

MOK, LAURA

CHIEF COMPLIANCE OFFICER

yes

08/2024

Sep 5, 2024

Sep 13, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2024

Apr 29, 2025

$207M

n/a

2023

Mar 27, 2024

$193M

n/a

2022

Mar 21, 2023

$135M

n/a

2021

Mar 30, 2022

$170M

n/a

2020

Mar 30, 2021

$252M

$132M

n/a

2019

Mar 26, 2020

$213M

$96.7M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

-2

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2024

$207M

$193M

6.8%

$170M

6.6%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

PARK STATE ASSET MANAGEMENT LLC

Oct 28, 2025

Aug 19, 2025

BEVERLY, MA

Team lift out

RIA to RIA

100.0%