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

FINANCIAL MANAGEMENT ASSOCIATES, LLC

CRD 109531

NORTH ANDOVER, 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:63aab0b8-aa90-c932-863e-32794cc261d4

Data as of Oct 17, 2017 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:37 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Feb 9, 2012 to Oct 17, 2017
23 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: $82.6MItem 5.F on the latest filing (2017-10-17); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $81.7M
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: 5
Advisory employees: 2
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 395
SEC number: 801-58102
CRD: 109531
Filings on the tape: 23
First filed: Feb 9, 2012
Latest filed: Oct 17, 2017
Organised: Limited Liability Company, Massachusetts

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
KENNEY, ALAN, PETER	MEMBER AND CHIEF COMPLIANCE OFFICER	D	yes	12/1999	Feb 9, 2012	Oct 17, 2017
MORRIS, JAMES, MARC	Member	D	yes	12/1999	Feb 9, 2012	Oct 17, 2017

Offices

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

City	State	Country	Employees	Also broker-dealer
Duxbury	Ma	United States	1	yes

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
2016	Mar 15, 2017	$82.6M	$81.7M	5	2	n/a	n/a	n/a
2015	Feb 23, 2016	$93.8M	$93.0M	3	1	n/a	n/a	n/a
2014	Feb 19, 2015	$116M	$116M	3	1	n/a	n/a	n/a
2013	Mar 10, 2014	$189M	$188M	3	1	n/a	n/a	n/a
2012	Mar 7, 2013	$168M	$167M	3	1	n/a	n/a	n/a
2011	Feb 9, 2012	$157M	$156M	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
2016	$82.6M	$93.8M	-12.0%	$189M	-24.1%	5	3	1	n/a

Relationships

Affiliated with (1)

← FINANCIAL MANAGEMENT ASSOCIATES, LLCRegistered adviserother investment adviser
factForm ADV

Controls (2)

← KENNEY, ALAN, PETEROwnerMEMBER AND CHIEF COMPLIANCE OFFICER, ownership code D, individual
Feb 9, 2012 to presentfactForm ADV
← MORRIS, JAMES, MARCOwnerMEMBER, ownership code D, individual
Feb 9, 2012 to presentfactForm ADV

Registered with (1)

← JAMES MARC MORRISAdvisorregistration: previous registration
Jan 1, 2001 to Sep 29, 2020factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:63aab0b8-aa90-c932-863e-32794cc261d4
First observed: Feb 9, 2012
Last observed: Oct 17, 2017 108 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.

FINANCIAL MANAGEMENT ASSOCIATES, LLC

CRD 109531

NORTH ANDOVER, 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:63aab0b8-aa90-c932-863e-32794cc261d4

Data as of Oct 17, 2017 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:37 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

KENNEY, ALAN, PETER

MEMBER AND CHIEF COMPLIANCE OFFICER

yes

12/1999

Feb 9, 2012

Oct 17, 2017

MORRIS, JAMES, MARC

Member

yes

12/1999

Feb 9, 2012

Oct 17, 2017

City

State

Country

Employees

Also broker-dealer

Duxbury

United States

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2016

Mar 15, 2017

$82.6M

$81.7M

n/a

2015

Feb 23, 2016

$93.8M

$93.0M

n/a

2014

Feb 19, 2015

$116M

n/a

2013

Mar 10, 2014

$189M

$188M

n/a

2012

Mar 7, 2013

$168M

$167M

n/a

2011

Feb 9, 2012

$157M

$156M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2016

$82.6M

$93.8M

-12.0%

$189M

-24.1%

n/a