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

FERNWOOD INVESTMENT MANAGEMENT, LLC

CRD 126144

QUINCY, 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:ae8003a8-33c8-c7a2-2553-c24c4b19253d

Data as of Aug 1, 2024 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:07 PM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 8
On other graphs: 3
Observed: Mar 27, 2012 to Aug 1, 2024
30 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Venture Capitalidentity

Point Allerton LLC

Venture manager · shared crd

Independent Sponsorsidentity

Point Allerton LLC

Capital provider to sponsors · shared crd

Private Equityidentity

Fernwood Investment Management, LLC

Private equity manager · shared crd

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: $436MItem 5.F on the latest filing (2024-08-01); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $430M
Private client RAUM: $409MderivedItem 5.D individuals plus high net worth individuals
Private client share: 94%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 6
Advisory employees: 4
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 745
Individual clients: 83
High net worth clients: 111
Private funds: 2Schedule D 7.B(1)
Private fund GAV: $26.5Mgross asset value as reported per fund; never fund size
Custody, client assets: $6.5M
SEC number: 801-61950
CRD: 126144
Filings on the tape: 30
First filed: Mar 27, 2012
Latest filed: Aug 1, 2024
Organised: Limited Liability Company, Delaware
Website: fernwoodinvestment.com

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
PENNMONT FUND, L.P.	Hedge Fund	$20.5M	Aug 1, 2024	64	Mar 27, 2012	reported	021-45010
FERNWOOD GXT /PRAIN, LLC	Private Equity Fund	$6.0M	Aug 1, 2024	30	Mar 27, 2019	reported	021-229886
CV I	Private Equity Fund	$55,000	Sep 19, 2013	11	Mar 27, 2012	dropped	n/a

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
REILLY, THOMAS, PATRICK	MANAGING MEMBER	E	yes	02/2003	Mar 27, 2012	Aug 1, 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	Offices	Private funds	Fund GAV
2023	Mar 25, 2024	$437M	$431M	6	4	0	2	$24.1M
2022	Mar 27, 2023	$399M	$390M	7	5	0	2	$24.0M
2021	Mar 28, 2022	$445M	$435M	6	4	0	2	$28.8M
2020	Mar 23, 2021	$399M	$392M	6	4	0	2	$16.6M
2019	Mar 30, 2020	$320M	$310M	6	4	0	2	$16.8M
2018	Mar 27, 2019	$276M	$266M	6	4	0	2	$17.0M
2017	Mar 28, 2018	$360M	$302M	7	4	0	1	$10.8M
2016	Mar 23, 2017	$217M	$159M	6	3	n/a	1	$9.1M
2015	Mar 24, 2016	$231M	$173M	6	3	n/a	1	$10.1M
2014	Mar 26, 2015	$216M	$190M	6	2	n/a	1	$11.4M
2013	Mar 27, 2014	$159M	$146M	6	2	n/a	1	$13.2M
2012	Mar 28, 2013	$224M	$214M	7	3	n/a	2	$10.2M
2011	Mar 27, 2012	$207M	$197M	n/a	n/a	n/a	2	$10.0M

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
2023	$436M	$399M	9.3%	$399M	3.0%	6	7	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
CW ADVISORS, LLC	3	Feb 3, 2025	Feb 5, 2025	HULL, MA	Firm absorbed	RIA to RIA	100.0%

Relationships

Advises (3)

→ PENNMONT FUND, L.P.Private fundHedge Fund, IA
Mar 27, 2012 to presentfactForm ADV
→ FERNWOOD GXT /PRAIN, LLCPrivate fundPrivate Equity Fund, IA
Mar 27, 2019 to presentfactForm ADV
→ CV IPrivate fundPrivate Equity Fund, IA, no longer reported
Mar 27, 2012 to Sep 19, 2013factForm ADV

Controls (1)

← REILLY, THOMAS, PATRICKOwnerMANAGING MEMBER, ownership code E, individual
Mar 27, 2012 to presentfactForm ADV

Registered with (6)

← THOMAS PATRICK REILLYAdvisorregistration: previous registration
Jun 30, 2003 to Feb 7, 2025factForm ADV
← FREDERICK MARCUS WARBURGAdvisorregistration: previous registration
Mar 4, 2020 to Feb 3, 2025factForm ADV
← KRISTEN JANE HOLLANDAdvisorregistration: previous registration
Mar 8, 2007 to Feb 3, 2025factForm ADV
← JEFFREY JAMES VINCENTAdvisorregistration: previous registration
Nov 15, 2017 to Oct 21, 2024factForm ADV
← CATHERINE VANESSA FADDISAdvisorregistration: previous registration
Nov 17, 2022 to Aug 16, 2023factForm ADV
← NANCY SCHAFFER VON STACKELBERGAdvisorregistration: previous registration
Oct 9, 2008 to Mar 6, 2014factForm ADV

Moved with (1)

→ CW ADVISORS, LLCRegistered adviser3 advisors, firm absorbed
Feb 3, 2025 to Feb 5, 2025factForm ADV

Dated events

Occurred
Mar 6, 2025
Left the SEC roster
Fernwood Investment Management, Llc no longer on the SEC adviser roster (last listed 2025-02-03, RAUM $435.7M)
Form ADVobserved 5 days ago
$436M
Occurred
Feb 7, 2025
Advisor changed firm
Thomas Patrick Reilly left Fernwood Investment Management, Llc for Cw Advisors, Llc (registered 2025-02-03)
Form ADVobserved 5 days ago
Occurred
Feb 3, 2025
Firm absorbed
Fernwood Investment Management, LLC's advisors moved to CW Advisors, LLC (Hull, MA): 3 of 3 registered, within 4 days
Form ADVobserved 5 days ago
3 advisors
Occurred
Feb 3, 2025
Advisor changed firm
Frederick Marcus Warburg left Fernwood Investment Management, Llc for Cw Advisors, Llc (registered 2025-02-05)
Form ADVobserved 5 days ago
Occurred
Feb 3, 2025
Advisor changed firm
Kristen Jane Holland left Fernwood Investment Management, Llc for Cw Advisors, Llc (registered 2025-02-05)
Form ADVobserved 5 days ago
Occurred
Oct 21, 2024
Advisor changed firm
Jeffrey James Vincent left Fernwood Investment Management, Llc for Vincent Wealth Advisors Llc (registered 2024-09-13)
Form ADVobserved 5 days ago
Occurred
Aug 16, 2023
Advisor changed firm
Catherine Vanessa Faddis left Fernwood Investment Management, Llc for Emerge Capital Management (registered 2022-11-17)
Form ADVobserved 5 days ago
Occurred
Mar 28, 2018
Regulatory AUM changed
Fernwood Investment Management, Llc reported RAUM $360.1M, up 66% from $216.7M (2018-01-08 to 2018-03-28)
Form ADVobserved 5 days ago
$143M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ae8003a8-33c8-c7a2-2553-c24c4b19253d
First observed: Mar 27, 2012
Last observed: Aug 1, 2024 26 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.

FERNWOOD INVESTMENT MANAGEMENT, LLC

CRD 126144

QUINCY, 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:ae8003a8-33c8-c7a2-2553-c24c4b19253d

Data as of Aug 1, 2024 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:07 PM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

PENNMONT FUND, L.P.

Hedge Fund

$20.5M

Aug 1, 2024

Mar 27, 2012

reported

021-45010

FERNWOOD GXT /PRAIN, LLC

Private Equity Fund

$6.0M

Aug 1, 2024

Mar 27, 2019

reported

021-229886

CV I

Private Equity Fund

$55,000

Sep 19, 2013

Mar 27, 2012

dropped

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

REILLY, THOMAS, PATRICK

MANAGING MEMBER

yes

02/2003

Mar 27, 2012

Aug 1, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2023

Mar 25, 2024

$437M

$431M

$24.1M

2022

Mar 27, 2023

$399M

$390M

$24.0M

2021

Mar 28, 2022

$445M

$435M

$28.8M

2020

Mar 23, 2021

$399M

$392M

$16.6M

2019

Mar 30, 2020

$320M

$310M

$16.8M

2018

Mar 27, 2019

$276M

$266M

$17.0M

2017

Mar 28, 2018

$360M

$302M

$10.8M

2016

Mar 23, 2017

$217M

$159M

n/a

$9.1M

2015

Mar 24, 2016

$231M

$173M

n/a

$10.1M

2014

Mar 26, 2015

$216M

$190M

n/a

$11.4M

2013

Mar 27, 2014

$159M

$146M

n/a

$13.2M

2012

Mar 28, 2013

$224M

$214M

n/a

$10.2M

2011

Mar 27, 2012

$207M

$197M

n/a

$10.0M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2023

$436M

$399M

9.3%

$399M

3.0%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

CW ADVISORS, LLC

Feb 3, 2025

Feb 5, 2025

HULL, MA

Firm absorbed

RIA to RIA

100.0%