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

SWALLOW FARMS CAPITAL MANAGEMENT

WILLIAM FRANCIS LINDSEY, CRD 141632

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:de7e8999-985f-3006-3fc2-625166ebe396

Data as of Apr 19, 2012 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:04 AM UTC and rebuilt at most every 15 minutes.

Relationships: 1
Dated events: 0
On other graphs: 0
Observed: Jan 28, 2012 to Apr 19, 2012
5 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: $24.0MItem 5.F on the latest filing (2012-04-19); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
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
Accounts: 9
SEC number: 801-67112
CRD: 141632
Filings on the tape: 5
First filed: Jan 28, 2012
Latest filed: Apr 19, 2012
Organised: Sole Proprietorship, Massachusetts

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
LINDSEY, WILLIAM, FRANCIS	PRINCIPAL AND CHIEF COMPLIANCE OFFICER	E	yes	08/2006	Jan 28, 2012	Apr 19, 2012

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
2011	Jan 28, 2012	$24.0M	$24.0M	n/a	n/a	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
2011	$24.0M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Controls (1)

← LINDSEY, WILLIAM, FRANCISOwnerPRINCIPAL AND CHIEF COMPLIANCE OFFICER, ownership code E, individual
Jan 28, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:de7e8999-985f-3006-3fc2-625166ebe396
First observed: Jan 28, 2012
Last observed: Apr 19, 2012 175 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.

SWALLOW FARMS CAPITAL MANAGEMENT

WILLIAM FRANCIS LINDSEY, CRD 141632

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:de7e8999-985f-3006-3fc2-625166ebe396

Data as of Apr 19, 2012 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:04 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

LINDSEY, WILLIAM, FRANCIS

PRINCIPAL AND CHIEF COMPLIANCE OFFICER

yes

08/2006

Jan 28, 2012

Apr 19, 2012

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2011

Jan 28, 2012

$24.0M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2011

$24.0M

n/a