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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

SCARBOROUGH CAPITAL MANAGEMENT

SCARBOROUGH ADVISORS, LLC, CRD 169517

ANNAPOLIS, MD

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:c25ac02c-6e26-39fa-e89e-ca412396c361

Data as of Mar 26, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:49 AM UTC and rebuilt at most every 15 minutes.

Relationships: 26
Dated events: 10
On other graphs: 0
Observed: Dec 20, 2013 to Mar 26, 2026
30 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: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=13.0
Regulatory AUM: $1.6BItem 5.F on the latest filing (2026-03-26); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.6B
Private client RAUM: $1.6BderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 15
RAUM per advisor: $110Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 23
Advisory employees: 13
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 4,323
Individual clients: 1,932
High net worth clients: 732
Custody, client assets: $123M
SEC number: 801-79006
CRD: 169517
Filings on the tape: 30
First filed: Dec 20, 2013
Latest filed: Mar 26, 2026
Organised: Limited Liability Company, DE
Website: 401kadvice.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
DAVID ALAN HERMAN	n/a	ANNAPOLIS, MD	12	30	2	yes
IAN ARROWSMITH	n/a	ANNAPOLIS, MD	12	29	1	yes
RYAN ALEXANDER ANSTED	n/a	ANNAPOLIS, MD	12	25	1	yes
SHAWN JOSEPH WALKER	Certified Financial Planner	ANNAPOLIS, MD	12	26	1	yes
JAMES FREDERICK SPRINKEL	n/a	ANNAPOLIS, MD	12	24	1	yes
GREGORY SIGISMUND OSTROWSKI	Certified Financial Planner	ANNAPOLIS, MD	12	23	1	yes
JONATHAN WALTER SZOSTEK	Certified Financial Planner	ANNAPOLIS, MD	12	18	1	yes
DAVID ALLEN SIZEMORE	Certified Financial Planner	ANNAPOLIS, MD	12	15	2	yes
JOSHUA PAUL GOLDSMITH	Certified Financial Planner	ANNAPOLIS, MD	12	21	1	yes
SAMANTHA CHRISTINE HARRIS	Certified Financial Planner	Annapolis, MD	8	11	1	yes
JEFFREY MICHAEL CARDOZO	Certified Financial Planner	Annapolis, MD	8	11	1	yes
Matthew John Zimmerman	Certified Financial Planner	ANNAPOLIS, MD	4	14	n/a	yes
Reese Michael Corley	n/a	ANNAPOLIS, MD	1	25	1	yes
Robert Joseph Roberts	n/a	ANNAPOLIS, MD	0	11	n/a	no
DYLAN Patrick SYLVESTER	n/a	ANNAPOLIS, MD	0	12	n/a	yes

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
ANSTED, RYAN, ALEXANDER	Member	B	yes	10/2013	Mar 26, 2026	Mar 26, 2026
ARROWSMITH, IAN	MANAGING MEMBER	B	yes	10/2013	Mar 26, 2026	Mar 26, 2026
Corley, Reese, Michael	CHIEF COMPLIANCE OFFICER	Na	yes	02/2025	Mar 26, 2026	Mar 26, 2026
OSTROWSKI, GREGORY, SIGISMUND	Member	B	yes	10/2013	Mar 26, 2026	Mar 26, 2026
SPRINKEL, JAMES, FREDERICK	Member	B	yes	10/2013	Mar 26, 2026	Mar 26, 2026
WALKER, SHAWN, JOSEPH	Member	B	yes	10/2013	Mar 26, 2026	Mar 26, 2026
PAYNE, CHRISTOPHER, LEE	CHIEF COMPLIANCE OFFICER	Na	no	09/2024	Oct 1, 2024	Oct 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; showing 12 of 13

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 26, 2026	$1.6B	$1.6B	23	13	0	n/a	n/a
2024	Apr 1, 2025	$1.4B	$1.4B	23	13	0	n/a	n/a
2023	Mar 27, 2024	$1.2B	$1.2B	19	10	0	n/a	n/a
2022	Apr 10, 2023	$987M	$987M	19	10	0	n/a	n/a
2021	Mar 23, 2022	$1.1B	$1.1B	19	16	0	n/a	n/a
2020	Mar 24, 2021	$928M	$928M	18	15	0	n/a	n/a
2019	Jan 22, 2020	$769M	$769M	16	13	0	n/a	n/a
2018	Jan 30, 2019	$608M	$608M	17	14	0	n/a	n/a
2017	Jan 5, 2018	$617M	$617M	17	14	0	n/a	n/a
2016	Feb 2, 2017	$503M	$503M	17	14	n/a	n/a	n/a
2015	Feb 4, 2016	$444M	$444M	17	13	n/a	n/a	n/a
2014	Jan 6, 2015	$422M	$422M	17	12	n/a	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	0	0	0.0%	0	0	0	1	0

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
2025	$1.6B	$1.4B	17.4%	$987M	18.5%	23	23	0	0

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
SII INVESTMENTS, INC.	2	Dec 31, 2017	Aug 28, 2018	ANNAPOLIS, MD	Team lift out	Other	0.9%

Relationships

Registered with (19)

← DYLAN Patrick SYLVESTERAdvisorregistration: current employment
Feb 4, 2026 to presentfactForm ADV
← Robert Joseph RobertsAdvisorregistration: current employment
Dec 4, 2025 to presentfactForm ADV
← Reese Michael CorleyAdvisorregistration: current employment
Dec 11, 2024 to presentfactForm ADV
← Matthew John ZimmermanAdvisorregistration: current employment
Jun 23, 2022 to presentfactForm ADV
← JEFFREY MICHAEL CARDOZOAdvisorregistration: current employment
Aug 28, 2018 to presentfactForm ADV
← SAMANTHA CHRISTINE HARRISAdvisorregistration: current employment
Jul 6, 2018 to presentfactForm ADV
← JOSHUA PAUL GOLDSMITHAdvisorregistration: current employment
Jan 16, 2014 to presentfactForm ADV
← DAVID ALAN HERMANAdvisorregistration: current employment
Jan 15, 2014 to presentfactForm ADV
← IAN ARROWSMITHAdvisorregistration: current employment
Jan 15, 2014 to presentfactForm ADV
← RYAN ALEXANDER ANSTEDAdvisorregistration: current employment
Jan 15, 2014 to presentfactForm ADV
← SHAWN JOSEPH WALKERAdvisorregistration: current employment
Jan 15, 2014 to presentfactForm ADV
← JAMES FREDERICK SPRINKELAdvisorregistration: current employment
Jan 15, 2014 to presentfactForm ADV
← GREGORY SIGISMUND OSTROWSKIAdvisorregistration: current employment
Jan 15, 2014 to presentfactForm ADV
← JONATHAN WALTER SZOSTEKAdvisorregistration: current employment
Jan 15, 2014 to presentfactForm ADV
← DAVID ALLEN SIZEMOREAdvisorregistration: current employment
Jan 15, 2014 to presentfactForm ADV
← Caroline Grace HultingAdvisorregistration: previous registration
Mar 22, 2021 to Mar 8, 2023factForm ADV
← Sabrina M PanekAdvisorregistration: previous registration
Mar 2, 2021 to Feb 6, 2023factForm ADV
← Melissa CapriceAdvisorregistration: previous registration
Mar 2, 2021 to Jun 15, 2021factForm ADV
← JOHN MARTIN BLAMPHINAdvisorregistration: previous registration
Jan 15, 2014 to Dec 31, 2018factForm ADV

Controls (5)

← ARROWSMITH, IANOwnerMANAGING MEMBER, ownership code B, individual
Dec 20, 2013 to Oct 1, 2024factForm ADV
← ANSTED, RYAN, ALEXANDEROwnerMEMBER, ownership code B, individual
Dec 20, 2013 to Oct 1, 2024factForm ADV
← WALKER, SHAWN, JOSEPHOwnerMEMBER, ownership code B, individual
Dec 20, 2013 to Oct 1, 2024factForm ADV
← SPRINKEL, JAMES, FREDERICKOwnerMEMBER, ownership code B, individual
Dec 20, 2013 to Oct 1, 2024factForm ADV
← OSTROWSKI, GREGORY, SIGISMUNDOwnerMEMBER, ownership code B, individual
Dec 20, 2013 to Oct 1, 2024factForm ADV

Owns (1)

← PAYNE, CHRISTOPHER, LEEOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Oct 1, 2024 to Oct 1, 2024factForm ADV

Moved with (1)

← SII INVESTMENTS, INC.Registered adviser2 advisors, team lift out, same day
Dec 31, 2017 to Aug 28, 2018factForm ADV

Dated events

Occurred
Jul 12, 2024
Control person left
Anne Jill Veenstra (Chief Compliance Officer) no longer on Schedule A of Scarborough Capital Management (listed 2024-04-15, absent 2024-07-12)
Form ADVobserved 4 days ago
Occurred
Apr 15, 2024
Control person joined
Anne Jill Veenstra (Chief Compliance Officer) appeared on Schedule A of Scarborough Capital Management
Form ADVobserved 4 days ago
Occurred
Apr 10, 2023
Control person left
V Kevin Kirk (Chief Compliance Officer) no longer on Schedule A of Scarborough Capital Management (listed 2022-10-31, absent 2023-04-10)
Form ADVobserved 4 days ago
Occurred
Mar 8, 2023
Advisor changed firm
Caroline Grace Hulting left Scarborough Capital Management for Ameriprise Financial Services, Llc (registered 2023-03-13)
Form ADVobserved 4 days ago
Occurred
Feb 6, 2023
Advisor changed firm
Sabrina M Panek left Scarborough Capital Management for Raymond James & Associates, Inc. (registered 2023-04-20)
Form ADVobserved 4 days ago
Occurred
Aug 23, 2022
Control person joined
V Kevin Kirk (Chief Compliance Officer) appeared on Schedule A of Scarborough Capital Management
Form ADVobserved 4 days ago
Occurred
Aug 23, 2022
Control person left
Ezzat Candice Davis (Chief Compliance Officer) no longer on Schedule A of Scarborough Capital Management (listed 2022-03-23, absent 2022-08-23)
Form ADVobserved 4 days ago
Occurred
Jan 22, 2020
Regulatory AUM changed
Scarborough Capital Management reported RAUM $769.4M, up 27% from $607.9M (2019-06-27 to 2020-01-22)
Form ADVobserved 4 days ago
$162M
Occurred
Dec 20, 2013
Succession filed (Item 4)
Scarborough Capital Management reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 4 days ago
Occurred
Dec 20, 2013
First Form ADV filing
Scarborough Capital Management filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c25ac02c-6e26-39fa-e89e-ca412396c361
First observed: Dec 20, 2013
Last observed: Mar 26, 2026 5 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.

SCARBOROUGH CAPITAL MANAGEMENT

SCARBOROUGH ADVISORS, LLC, CRD 169517

ANNAPOLIS, MD

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:c25ac02c-6e26-39fa-e89e-ca412396c361

Data as of Mar 26, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:49 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

DAVID ALAN HERMAN

n/a

ANNAPOLIS, MD

yes

IAN ARROWSMITH

n/a

ANNAPOLIS, MD

yes

RYAN ALEXANDER ANSTED

n/a

ANNAPOLIS, MD

yes

SHAWN JOSEPH WALKER

Certified Financial Planner

ANNAPOLIS, MD

yes

JAMES FREDERICK SPRINKEL

n/a

ANNAPOLIS, MD

yes

GREGORY SIGISMUND OSTROWSKI

Certified Financial Planner

ANNAPOLIS, MD

yes

JONATHAN WALTER SZOSTEK

Certified Financial Planner

ANNAPOLIS, MD

yes

DAVID ALLEN SIZEMORE

Certified Financial Planner

ANNAPOLIS, MD

yes

JOSHUA PAUL GOLDSMITH

Certified Financial Planner

ANNAPOLIS, MD

yes

SAMANTHA CHRISTINE HARRIS

Certified Financial Planner

Annapolis, MD

yes

JEFFREY MICHAEL CARDOZO

Certified Financial Planner

Annapolis, MD

yes

Matthew John Zimmerman

Certified Financial Planner

ANNAPOLIS, MD

n/a

yes

Reese Michael Corley

n/a

ANNAPOLIS, MD

yes

Robert Joseph Roberts

n/a

ANNAPOLIS, MD

n/a

DYLAN Patrick SYLVESTER

n/a

ANNAPOLIS, MD

n/a

yes

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ANSTED, RYAN, ALEXANDER

Member

yes

10/2013

Mar 26, 2026

ARROWSMITH, IAN

MANAGING MEMBER

yes

10/2013

Mar 26, 2026

Corley, Reese, Michael

CHIEF COMPLIANCE OFFICER

yes

02/2025

Mar 26, 2026

OSTROWSKI, GREGORY, SIGISMUND

Member

yes

10/2013

Mar 26, 2026

SPRINKEL, JAMES, FREDERICK

Member

yes

10/2013

Mar 26, 2026

WALKER, SHAWN, JOSEPH

Member

yes

10/2013

Mar 26, 2026

PAYNE, CHRISTOPHER, LEE

CHIEF COMPLIANCE OFFICER

09/2024

Oct 1, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 26, 2026

$1.6B

n/a

2024

Apr 1, 2025

$1.4B

n/a

2023

Mar 27, 2024

$1.2B

n/a

2022

Apr 10, 2023

$987M

n/a

2021

Mar 23, 2022

$1.1B

n/a

2020

Mar 24, 2021

$928M

n/a

2019

Jan 22, 2020

$769M

n/a

2018

Jan 30, 2019

$608M

n/a

2017

Jan 5, 2018

$617M

n/a

2016

Feb 2, 2017

$503M

n/a

2015

Feb 4, 2016

$444M

n/a

2014

Jan 6, 2015

$422M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$1.6B

$1.4B

17.4%

$987M

18.5%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

SII INVESTMENTS, INC.

Dec 31, 2017

Aug 28, 2018

ANNAPOLIS, MD

Team lift out

Other

0.9%