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

F-SQUARED INVESTMENTS, INC

CRD 146673

WELLESLEY, 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:b95740fd-5d7a-bde0-e665-09a71e1671f9

Data as of Sep 16, 2015 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:30 PM UTC and rebuilt at most every 15 minutes.

Relationships: 22
Dated events: 0
On other graphs: 0
Observed: Mar 23, 2012 to Sep 16, 2015
19 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: $49,000Item 5.F on the latest filing (2015-09-16); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $49,000
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: 57
Advisory employees: 13
Accounts: 1
SEC number: 801-69937
CRD: 146673
Filings on the tape: 19
First filed: Mar 23, 2012
Latest filed: Sep 16, 2015
Organised: Corporation, Delaware

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
DAGAN, LAURA, PEELLE	ELECTED MANAGER	F	yes	11/2011	Oct 8, 2012	Sep 16, 2015
DAGAN, LAURA, PEELLE	CEO AND ELECTED MANAGER	Na	yes	11/2014	Oct 8, 2012	Sep 16, 2015
DESKAVICH, DEBORAH, LEE	COO, CFO	Na	yes	06/2009	Mar 23, 2012	Sep 16, 2015
F-SQUARED INVESTMENT MANAGEMENT LLC	Member	E	yes	07/2010	Mar 23, 2012	Sep 16, 2015
FRENCH, SHARON	CHIEF DISTRIBUTION OFFICER	Na	yes	03/2015	Mar 30, 2015	Sep 16, 2015
MANN, THOMAS, FREDERICK	ELECTED MANAGER	Na	yes	07/2011	Oct 8, 2012	Sep 16, 2015
MANN, THOMAS, FREDERICK	ELECTED MANAGER	F	yes	07/2011	Oct 8, 2012	Sep 16, 2015
PHELPS, DAVID, NESTER	CHIEF RESTRUCTURING OFFICER	Na	yes	07/2015	Jul 10, 2015	Sep 16, 2015
RICCI, STEPHEN, J	ELECTED MANAGER	F	yes	12/2009	Mar 23, 2012	Sep 16, 2015
RICCI, STEPHEN, J	ELECTED MANAGER	Na	yes	12/2009	Mar 23, 2012	Sep 16, 2015
SWANSON, ANN MARIE	CHIEF COMPLIANCE OFFICER	Na	yes	07/2015	Jul 10, 2015	Sep 16, 2015

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
F-SQUARED CAPITAL, LLC	n/a	Former SEC adviser	$2.1B	N	yes	n/a
F-SQUARED RETIREMENT SOLUTIONS, LLC	n/a	Former SEC adviser	$81.6M	N	yes	n/a
F-SQUARED ALTERNATIVE INVESTMENTS, LLC	n/a	Former SEC adviser	$14.2M	N	yes	n/a
F-SQUARED INSTITUTIONAL ADVISORS, LLC	n/a	Former SEC adviser	$0	N	yes	n/a
ALPHASECTOR LLS GP1, LLC	n/a	n/a	n/a	N	yes	n/a

Offices

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

City	State	Country	Employees	Also broker-dealer
Wellesley	Ma	United States	n/a	no
Ewing	Nj	United States	n/a	no

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
2014	Mar 30, 2015	$20.8M	$20.8M	110	18	n/a	n/a	n/a
2013	Mar 31, 2014	$61.8M	$61.8M	115	15	n/a	n/a	n/a
2012	Apr 1, 2013	$2.0B	$512M	41	23	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
2014	$49,000	$61.8M	-99.9%	n/a	n/a	57	115	n/a	n/a

Relationships

Affiliated with (8)

→ F-SQUARED INSTITUTIONAL ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ F-SQUARED RETIREMENT SOLUTIONSRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ F-SQUARED ALTERNATIVE INVESTMENTSRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ F-SQUARED CAPITALRegistered adviserother investment adviser, common control
factForm ADV
← F-SQUARED INSTITUTIONAL ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV
← F-SQUARED RETIREMENT SOLUTIONSRegistered adviserother investment adviser, common control
factForm ADV
← F-SQUARED ALTERNATIVE INVESTMENTSRegistered adviserother investment adviser, common control
factForm ADV
← F-SQUARED CAPITALRegistered adviserother investment adviser, common control
factForm ADV

Controls (8)

← MANN, THOMAS, FREDERICKOwnerELECTED MANAGER, ownership code F, individual
Oct 8, 2012 to presentfactForm ADV
← DESKAVICH, DEBORAH, LEEOwnerCOO, CFO, ownership code NA, individual
Mar 23, 2012 to presentfactForm ADV
← FRENCH, SHARONOwnerCHIEF DISTRIBUTION OFFICER, ownership code NA, individual
Mar 30, 2015 to presentfactForm ADV
← DAGAN, LAURA, PEELLEOwnerELECTED MANAGER, ownership code F, individual
Oct 8, 2012 to presentfactForm ADV
← SWANSON, ANN MARIEOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jul 10, 2015 to presentfactForm ADV
← RICCI, STEPHEN, JOwnerELECTED MANAGER, ownership code F, individual
Mar 23, 2012 to presentfactForm ADV
← PHELPS, DAVID, NESTEROwnerCHIEF RESTRUCTURING OFFICER, ownership code NA, individual
Jul 10, 2015 to presentfactForm ADV
← F-SQUARED INVESTMENT MANAGEMENT LLCOwnerMEMBER, ownership code E, domestic entity
Mar 23, 2012 to presentfactForm ADV

Registered with (3)

← THOMAS WILLIAM HAGSTROMAdvisorregistration: previous registration
Sep 6, 2011 to Nov 20, 2015factForm ADV
← FLYNN THOMAS MCDONNELLAdvisorregistration: previous registration
Dec 4, 2009 to Aug 24, 2015factForm ADV
← BRIAN JOSEPH SULLIVANAdvisorregistration: previous registration
Jun 12, 2012 to Jun 10, 2013factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b95740fd-5d7a-bde0-e665-09a71e1671f9
First observed: Mar 23, 2012
Last observed: Sep 16, 2015 134 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.

F-SQUARED INVESTMENTS, INC

CRD 146673

WELLESLEY, 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:b95740fd-5d7a-bde0-e665-09a71e1671f9

Data as of Sep 16, 2015 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:30 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

DAGAN, LAURA, PEELLE

ELECTED MANAGER

yes

11/2011

Oct 8, 2012

Sep 16, 2015

DAGAN, LAURA, PEELLE

CEO AND ELECTED MANAGER

yes

11/2014

Oct 8, 2012

Sep 16, 2015

DESKAVICH, DEBORAH, LEE

COO, CFO

yes

06/2009

Mar 23, 2012

Sep 16, 2015

F-SQUARED INVESTMENT MANAGEMENT LLC

Member

yes

07/2010

Mar 23, 2012

Sep 16, 2015

FRENCH, SHARON

CHIEF DISTRIBUTION OFFICER

yes

03/2015

Mar 30, 2015

Sep 16, 2015

MANN, THOMAS, FREDERICK

ELECTED MANAGER

yes

07/2011

Oct 8, 2012

Sep 16, 2015

MANN, THOMAS, FREDERICK

ELECTED MANAGER

yes

07/2011

Oct 8, 2012

Sep 16, 2015

PHELPS, DAVID, NESTER

CHIEF RESTRUCTURING OFFICER

yes

07/2015

Jul 10, 2015

Sep 16, 2015

RICCI, STEPHEN, J

ELECTED MANAGER

yes

12/2009

Mar 23, 2012

Sep 16, 2015

RICCI, STEPHEN, J

ELECTED MANAGER

yes

12/2009

Mar 23, 2012

Sep 16, 2015

SWANSON, ANN MARIE

CHIEF COMPLIANCE OFFICER

yes

07/2015

Jul 10, 2015

Sep 16, 2015

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

F-SQUARED CAPITAL, LLC

n/a

Former SEC adviser

$2.1B

yes

n/a

F-SQUARED RETIREMENT SOLUTIONS, LLC

n/a

Former SEC adviser

$81.6M

yes

n/a

F-SQUARED ALTERNATIVE INVESTMENTS, LLC

n/a

Former SEC adviser

$14.2M

yes

n/a

F-SQUARED INSTITUTIONAL ADVISORS, LLC

n/a

Former SEC adviser

yes

n/a

ALPHASECTOR LLS GP1, LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Wellesley

United States

n/a

Ewing

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2014

Mar 30, 2015

$20.8M

110

n/a

2013

Mar 31, 2014

$61.8M

115

n/a

2012

Apr 1, 2013

$2.0B

$512M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2014

$49,000

$61.8M

-99.9%

n/a

115

n/a