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CRD 124062
LINCOLN, MA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| T•••• P•••• R••••• | n/a | LINCOLN, MA | 17 | 18 | n/a | no |
| K•••••••• M••••••• H••••••••• | n/a | LINCOLN, MA | 17 | 17 |
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| A••••• S••••• F••• L•• | Other Private Fund | $262M | Dec 22, 2025 | 68 | Mar 6, 2015 | reported | 021-340688 |
| A••••• S••••• P•••••• I••••••••• F••• L•• | Other Private Fund | $170M |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| F•••••••• I••••••••• | Member | E | yes | 03/2020 | Dec 22, 2025 | Dec 22, 2025 |
| H••••••••• K••••••••• | MANAGING DIRECTOR | Na | yes | 02/2015 | Dec 22, 2025 | Dec 22, 2025 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| F••••••• A•••••••• I••• | n/a | Asset manager | $509B | N | yes | n/a |
| P••••• I••••••••• M••••••••• L•• | n/a | Asset manager | $117B | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| NEW YORK | NY | United States | 10 | yes |
| SAN MATEO | CA | United States | 1 | yes |
| BOCA RATON | FL | United States | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 0 | 0 | 0 | 0.0% | 0 | 0 | 0 | 0 | 0 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2024 | $7.7B | $5.5B | 40.4% | $5.8B | 9.6% | 50 | 46 | 3 | 3 |
| no |
| A••• M•••••• P••• | Chartered Financial Analyst | LINCOLN, MA | 15 | 19 | 1 | yes |
| E•••• R••••• R••••••• | n/a | LINCOLN, MA | 14 | 14 | n/a | no |
| K•••••••• D•••• B•••• | Chartered Financial Analyst | LINCOLN, MA | 13 | 11 | n/a | yes |
| A••• E• S••••••• | n/a | LINCOLN, MA | 13 | 11 | n/a | yes |
| M•••••• A••• K••• | Chartered Financial Analyst | LINCOLN, MA | 12 | 12 | n/a | no |
| J••• M• R••• | Chartered Financial Analyst | LINCOLN, MA | 11 | 11 | n/a | no |
| J•••••• S•••• F•••••••• | Chartered Financial Analyst | LINCOLN, MA | 11 | 11 | n/a | no |
| D•••••• M•••••• C•••• | n/a | LINCOLN, MA | New York, NY | 9 | 14 | n/a | yes |
| R•••• K••••••• S••••• | n/a | New York, NY | LINCOLN, MA | 8 | 16 | n/a | no |
| A••• W•••••• C•••• | Chartered Financial Analyst | LINCOLN, MA | 7 | 13 | n/a | no |
| B•••••• L•• J•••••• | n/a | LINCOLN, MA | 6 | 11 | n/a | yes |
| A••• A••••••••• K••••••••• | n/a | LINCOLN, MA | New York, NY | 6 | 11 | n/a | no |
| 88 |
| Mar 6, 2015 |
| reported |
| 021-340619 |
| A••••• A•••• I•••••••• H•••••••• L• | Other Private Fund | $123M | Dec 22, 2025 | 27 | Mar 29, 2012 | reported | 021-122967 |
| F•••••••• T•••• I••••••••• P•••••• E••••• A••••• P•••••• L• | Other Private Fund | $94.5M | Dec 22, 2025 | 43 | Mar 30, 2022 | reported | 021-383930 |
| A••••• S••••••••• P••••••• L• | Hedge Fund | $40.5M | Sep 20, 2017 | 6 | Feb 9, 2012 | dropped | 021-1444990 |
| A••••• C••••••• V••••• F••• L• | Hedge Fund | $36.5M | Dec 22, 2025 | 2 | Mar 6, 2015 | reported | 021-214043 |
| A••••• O•••• T••• M•••• A•••• F••• L• | Hedge Fund | $18.9M | Sep 2, 2015 | 7 | Mar 29, 2012 | dropped | 021-1408727 |
| A••••• S••••• R••• E••••• I••••••••• F••• L•• | Other Private Fund | $9.6M | Dec 22, 2025 | 31 | Mar 6, 2015 | reported | 021-340609 |
| A••••• S••••••••• F•••• L•• | Hedge Fund | $2.3M | Jan 9, 2015 | 3 | Feb 9, 2012 | dropped | n/a |
| A••••• C•• V•• L•• | Private Equity Fund | $2.2M | Sep 20, 2017 | 8 | Mar 6, 2015 | dropped | n/a |
| F•••••• S••••• P••••••• | Other Private Fund | $0 | Dec 22, 2025 | 5 | Mar 6, 2015 | reported | 021-340567 |
| A••••• C•••••• R••••• V• L•• | Other Private Fund | $0 | Dec 22, 2023 | 0 | Mar 6, 2015 | dropped | 021-340694 |
| CHIEF EXECUTIVE OFFICER OF F•••••••• T•••• C•••••• I••••••••• |
| Na |
| yes |
| 07/2025 |
| Dec 22, 2025 |
| Dec 22, 2025 |
| S••••••• A••• C•••••••• | MANAGING DIRECTOR | Na | yes | 03/2020 | Dec 22, 2025 | Dec 22, 2025 |
| T••••• A••• M•••• | REGIONAL MANAGING DIRECTOR | Na | yes | 01/2010 | Dec 22, 2025 | Dec 22, 2025 |
| F•••••••• I••••••••• H••••••• I••• | Member | E | yes | 03/2020 | Mar 9, 2020 | Dec 23, 2024 |
| F•••••••• T•••• C•••••• I••••••••• | Shareholder | E | yes | 03/2020 | Mar 9, 2020 | Dec 23, 2024 |
| F••••••• R••••••••• I••• | Shareholder | E | yes | 04/2001 | Mar 9, 2020 | Dec 23, 2024 |
| G••••••• R••••••• E•••• | CHIEF COMPLIANCE OFFICER | Na | no | 12/2021 | Dec 22, 2025 | Dec 22, 2025 |
| L•••••••• P••••••• L••• | n/a | Asset manager | $79B | N | yes | n/a |
| C•••••• P•••••••• L•• | n/a | Asset manager | $74B | N | yes | n/a |
| B•••••• S••••• P••••••• L••••• | n/a | Asset manager | $28B | N | yes | n/a |
| O••••••••• A•••• M••••••••• L•• | n/a | Independent wealth | $20B | N | yes | n/a |
| K••••• M••••••••• C••• L••••• | n/a | Asset manager | $6.5B | N | yes | n/a |
| A••••• A•••• I•••••••• G• L•• | n/a | n/a | n/a | Y | yes | n/a |
| A••••• C••••••• V••••• G• L•• | n/a | n/a | n/a | Y | yes | n/a |
| F•••••••• T•••• C•••••• I••••••••• | n/a | n/a | n/a | Y | yes | NY |
| F•••••••• T•••• C•••••• I••••••••• O• P••••••••• | n/a | n/a | n/a | N | yes | n/a |
| F•••••••• T•••• C•••••• O• C••••• | n/a | n/a | n/a | N | yes | n/a |
| F•••••••• T•••• I••••••••• O• C••••••••• | n/a | n/a | n/a | N | yes | n/a |
| F•••••••• T•••• I••••••••• O• D••••••• | n/a | n/a | n/a | N | yes | n/a |
| F•••••••• T•••• I••••••••• O• T•• S•••• | n/a | n/a | n/a | N | yes | n/a |
| F•••••••• T•••• I••••••••• P•••••• E••••• A••••• P•••••• G• L•• | n/a | n/a | n/a | Y | yes | n/a |
| F••••••• D••••••••• L•• | n/a | n/a | n/a | N | yes | n/a |
| Feb 10, 2025 |
| $6.3B |
| $5.8B |
| 50 |
| 25 |
| 3 |
| 7 |
| n/a |
| 2023 | Dec 22, 2023 | $5.5B | $5.0B | 46 | 22 | 3 | 8 | $656M |
| 2022 | Dec 22, 2022 | $5.2B | $4.8B | 48 | 23 | 2 | 8 | $658M |
| 2021 | Mar 30, 2022 | $5.8B | $5.5B | 40 | 37 | 2 | 8 | $695M |
| 2020 | Mar 31, 2021 | $6.5B | $5.9B | 43 | 18 | 1 | 7 | $583M |
| 2019 | Apr 10, 2020 | $6.3B | $5.7B | 47 | 23 | 1 | 7 | $552M |
| 2018 | Mar 29, 2019 | $5.8B | $5.2B | 44 | 30 | 2 | 7 | $530M |
| 2017 | Mar 30, 2018 | $5.5B | $4.8B | 51 | 31 | 2 | 7 | $558M |
| 2016 | Mar 31, 2017 | $5.5B | $4.9B | 55 | 30 | n/a | 9 | $624M |
| 2015 | Mar 30, 2016 | $6.0B | $5.2B | 47 | 30 | n/a | 9 | $673M |
| 2014 | Mar 6, 2015 | $5.9B | $5.1B | 47 | 29 | n/a | 10 | $756M |
| 2013 | Mar 31, 2014 | $5.1B | $2.4B | 53 | 25 | n/a | 4 | $288M |
| 2012 | Mar 28, 2013 | $4.3B | $2.6B | 43 | 23 | n/a | 4 | $210M |
| 2011 | Mar 29, 2012 | $4.1B | $2.8B | n/a | n/a | n/a | 4 | $180M |