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Data Factory

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

DERBY AND COMPANY INC

CRD 106924

NEWTON, 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:d95b4cc9-ccaf-0ade-4353-20dca8ab6683

Data as of Nov 26, 2021 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:52 AM UTC and rebuilt at most every 15 minutes.

Relationships: 21
Dated events: 2
On other graphs: 3
Observed: Mar 20, 2012 to Nov 26, 2021
30 observations

Across DFX

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

Private Equityidentity

Derby and Company Inc

Private equity manager · shared crd

Allocatorsidentity

Derby and Company Inc

Investment consultant · shared crd

Real Estate Fundsidentity

Derby and Company Inc

Real estate fund 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: $691MItem 5.F on the latest filing (2021-11-26); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $690M
Private client RAUM: $577MderivedItem 5.D individuals plus high net worth individuals
Private client share: 83%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 15
Advisory employees: 6
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 887
Individual clients: 175
High net worth clients: 202
Private funds: 5Schedule D 7.B(1)
Private fund GAV: $54.0Mgross asset value as reported per fund; never fund size
Custody, client assets: $185M
SEC number: 801-30056
CRD: 106924
Filings on the tape: 30
First filed: Mar 20, 2012
Latest filed: Nov 26, 2021
Organised: Corporation, Massachusetts

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
DCM INCOME OPPORTUNITY PARTNERSHIP, LP CLASS A	Hedge Fund	$33.2M	Nov 26, 2021	90	Mar 20, 2012	reported	n/a
DCM REAL ESTATE PARTNERS IV, LLC	Real Estate Fund	$10.0M	Mar 30, 2017	67	Mar 20, 2012	dropped	n/a
DCM GLOBAL STRATEGIES PARTNERHIP, L.P.	Hedge Fund	$8.4M	Mar 30, 2012	37	Mar 20, 2012	dropped	n/a
DCM INCOME OPPORTUNITY PARTNERSHIP, LP CLASS RE6	Real Estate Fund	$6.7M	Nov 26, 2021	55	Mar 31, 2021	reported	n/a
DCM INCOME OPPORTUNITY PARTNERSHIP, LP CLASS DL2	Private Equity Fund	$5.6M	Nov 26, 2021	35	Mar 31, 2021	reported	n/a
DCM REAL ESTATE PARTNERS VII	Real Estate Fund	$4.9M	Nov 26, 2021	56	Mar 29, 2019	reported	n/a
DCM INCOME OPPORTUNITY PARTNERSHIP, LP CLASS DL1	Private Equity Fund	$3.6M	Nov 26, 2021	25	Mar 31, 2021	reported	n/a
DCM REAL ESTATE PARTNERS III, LLC	Real Estate Fund	$3.2M	Nov 20, 2019	75	Mar 20, 2012	dropped	n/a
DCM REAL ESTATE PARTNERS, LLC	Real Estate Fund	$1.5M	Nov 16, 2016	38	Mar 20, 2012	dropped	n/a
DCM REAL ESTATE PARTNERS V	Real Estate Fund	$401,458	Nov 20, 2019	43	Mar 20, 2012	dropped	n/a
DCM REAL ESTATE PARTNERS V QP, LLC	Real Estate Fund	$125,961	Nov 20, 2019	10	Mar 20, 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
DERBY, JONATHAN, JAY	VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER	D	yes	07/1992	Mar 20, 2012	Nov 26, 2021
DERBY, MARK, ALAN	PRESIDENT, CEO	D	yes	01/1989	Mar 20, 2012	Nov 26, 2021

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
DERBY CAPITAL MANAGEMENT, LLC	n/a	n/a	n/a	N	yes	n/a

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
2020	Mar 31, 2021	$691M	$690M	15	6	0	5	$54.0M
2019	Mar 30, 2020	$622M	$622M	11	6	0	2	$55.5M
2018	Mar 29, 2019	$530M	$528M	13	4	0	5	$61.7M
2017	Mar 30, 2018	$568M	$568M	14	4	0	4	$58.2M
2016	Mar 30, 2017	$494M	$494M	19	4	n/a	5	$68.9M
2015	Mar 30, 2016	$488M	$470M	10	4	n/a	6	$69.1M
2014	Mar 27, 2015	$487M	$468M	14	3	n/a	6	$73.6M
2013	Mar 21, 2014	$528M	$512M	15	2	n/a	6	$62.7M
2012	Apr 1, 2013	$470M	$443M	20	2	n/a	6	$62.9M
2011	Mar 30, 2012	$460M	$397M	n/a	n/a	n/a	7	$70.2M

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
2020	$691M	$622M	11.1%	$568M	6.8%	15	11	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
FOCUS PARTNERS WEALTH, LLC	4	Dec 31, 2021	Sep 22, 2022	NEWTON, MA	Firm absorbed	RIA to RIA	80.0%

Relationships

Advises (11)

→ DCM INCOME OPPORTUNITY PARTNERSHIP, LP CLASS DL2Private fundPrivate Equity Fund, IA
Mar 31, 2021 to presentfactForm ADV
→ DCM INCOME OPPORTUNITY PARTNERSHIP, LP CLASS DL1Private fundPrivate Equity Fund, IA
Mar 31, 2021 to presentfactForm ADV
→ DCM REAL ESTATE PARTNERS VIIPrivate fundReal Estate Fund, IA
Mar 29, 2019 to presentfactForm ADV
→ DCM INCOME OPPORTUNITY PARTNERSHIP, LP CLASS RE6Private fundReal Estate Fund, IA
Mar 31, 2021 to presentfactForm ADV
→ DCM INCOME OPPORTUNITY PARTNERSHIP, LP CLASS APrivate fundHedge Fund, IA
Mar 20, 2012 to presentfactForm ADV
→ DCM REAL ESTATE PARTNERS III, LLCPrivate fundReal Estate Fund, IA, no longer reported
Mar 20, 2012 to Nov 20, 2019factForm ADV
→ DCM REAL ESTATE PARTNERS V QP, LLCPrivate fundReal Estate Fund, IA, no longer reported
Mar 20, 2012 to Nov 20, 2019factForm ADV
→ DCM REAL ESTATE PARTNERS VPrivate fundReal Estate Fund, IA, no longer reported
Mar 20, 2012 to Nov 20, 2019factForm ADV
→ DCM REAL ESTATE PARTNERS IV, LLCPrivate fundReal Estate Fund, IA, no longer reported
Mar 20, 2012 to Mar 30, 2017factForm ADV
→ DCM REAL ESTATE PARTNERS, LLCPrivate fundReal Estate Fund, IA, no longer reported
Mar 20, 2012 to Nov 16, 2016factForm ADV
→ DCM GLOBAL STRATEGIES PARTNERHIP, L.P.Private fundHedge Fund, IA, no longer reported
Mar 20, 2012 to Mar 30, 2012factForm ADV

Controls (2)

← DERBY, JONATHAN, JAYOwnerVICE PRESIDENT AND CHIEF COMPLIANCE OFFICER, ownership code D, individual
Mar 20, 2012 to presentfactForm ADV
← DERBY, MARK, ALANOwnerPRESIDENT, CEO, ownership code D, individual
Mar 20, 2012 to presentfactForm ADV

Moved with (1)

→ FOCUS PARTNERS WEALTH, LLCRegistered adviser4 advisors, firm absorbed, same day
Dec 31, 2021 to Sep 22, 2022factForm ADV

Registered with (7)

← JONATHAN JAY DERBYAdvisorregistration: previous registration
Oct 24, 2002 to Dec 31, 2021factForm ADV
← TODD CRAIG SILVERMANAdvisorregistration: previous registration
Feb 7, 2020 to Dec 31, 2021factForm ADV
← RACHEL MERI ZIBRAKAdvisorregistration: previous registration
Jun 8, 2015 to Dec 31, 2021factForm ADV
← ALLISON M. CrateAdvisorregistration: previous registration
Jun 24, 2015 to Dec 31, 2021factForm ADV
← MARK ALAN DERBYAdvisorregistration: previous registration
Oct 24, 2002 to Dec 31, 2021factForm ADV
← MICHAEL W WYMANAdvisorregistration: previous registration
Sep 16, 2010 to Nov 20, 2013factForm ADV
← Lee EllwoodAdvisorregistration: previous registration
Oct 31, 2002 to Jul 23, 2008factForm ADV

Dated events

Occurred
Nov 26, 2021
Control person left
Ann Tanya Kerrigan (General Counsel And Chief Compliance Officer) no longer on Schedule A of Derby And Company Inc (listed 2021-03-31, absent 2021-11-26)
Form ADVobserved 6 days ago
Occurred
Mar 31, 2021
Control person joined
Ann Tanya Kerrigan (General Counsel And Chief Compliance Officer) appeared on Schedule A of Derby And Company Inc
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d95b4cc9-ccaf-0ade-4353-20dca8ab6683
First observed: Mar 20, 2012
Last observed: Nov 26, 2021 58 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.

DERBY AND COMPANY INC

CRD 106924

NEWTON, 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:d95b4cc9-ccaf-0ade-4353-20dca8ab6683

Data as of Nov 26, 2021 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:52 AM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

DCM INCOME OPPORTUNITY PARTNERSHIP, LP CLASS A

Hedge Fund

$33.2M

Nov 26, 2021

Mar 20, 2012

reported

n/a

DCM REAL ESTATE PARTNERS IV, LLC

Real Estate Fund

$10.0M

Mar 30, 2017

Mar 20, 2012

dropped

n/a

DCM GLOBAL STRATEGIES PARTNERHIP, L.P.

Hedge Fund

$8.4M

Mar 30, 2012

Mar 20, 2012

dropped

n/a

DCM INCOME OPPORTUNITY PARTNERSHIP, LP CLASS RE6

Real Estate Fund

$6.7M

Nov 26, 2021

Mar 31, 2021

reported

n/a

DCM INCOME OPPORTUNITY PARTNERSHIP, LP CLASS DL2

Private Equity Fund

$5.6M

Nov 26, 2021

Mar 31, 2021

reported

n/a

DCM REAL ESTATE PARTNERS VII

Real Estate Fund

$4.9M

Nov 26, 2021

Mar 29, 2019

reported

n/a

DCM INCOME OPPORTUNITY PARTNERSHIP, LP CLASS DL1

Private Equity Fund

$3.6M

Nov 26, 2021

Mar 31, 2021

reported

n/a

DCM REAL ESTATE PARTNERS III, LLC

Real Estate Fund

$3.2M

Nov 20, 2019

Mar 20, 2012

dropped

n/a

DCM REAL ESTATE PARTNERS, LLC

Real Estate Fund

$1.5M

Nov 16, 2016

Mar 20, 2012

dropped

n/a

DCM REAL ESTATE PARTNERS V

Real Estate Fund

$401,458

Nov 20, 2019

Mar 20, 2012

dropped

n/a

DCM REAL ESTATE PARTNERS V QP, LLC

Real Estate Fund

$125,961

Nov 20, 2019

Mar 20, 2012

dropped

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

DERBY, JONATHAN, JAY

VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER

yes

07/1992

Mar 20, 2012

Nov 26, 2021

DERBY, MARK, ALAN

PRESIDENT, CEO

yes

01/1989

Mar 20, 2012

Nov 26, 2021

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

DERBY CAPITAL MANAGEMENT, LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2020

Mar 31, 2021

$691M

$690M

$54.0M

2019

Mar 30, 2020

$622M

$55.5M

2018

Mar 29, 2019

$530M

$528M

$61.7M

2017

Mar 30, 2018

$568M

$58.2M

2016

Mar 30, 2017

$494M

n/a

$68.9M

2015

Mar 30, 2016

$488M

$470M

n/a

$69.1M

2014

Mar 27, 2015

$487M

$468M

n/a

$73.6M

2013

Mar 21, 2014

$528M

$512M

n/a

$62.7M

2012

Apr 1, 2013

$470M

$443M

n/a

$62.9M

2011

Mar 30, 2012

$460M

$397M

n/a

$70.2M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2020

$691M

$622M

11.1%

$568M

6.8%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

FOCUS PARTNERS WEALTH, LLC

Dec 31, 2021

Sep 22, 2022

NEWTON, MA

Firm absorbed

RIA to RIA

80.0%