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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

RAMPART INVESTMENT MANAGEMENT

RAMPART INVESTMENT MANAGEMENT CO INC, CRD 111673

BOSTON, 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:e147a53d-f29d-57ca-7e95-bbaf5741a140

Data as of Aug 29, 2012 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:30 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Apr 12, 2012 to Aug 29, 2012
3 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: $1.3BItem 5.F on the latest filing (2012-08-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.3B
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: 300
SEC number: 801-20657
CRD: 111673
Filings on the tape: 3
First filed: Apr 12, 2012
Latest filed: Aug 29, 2012
Organised: Corporation, 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
DAVIS, RICHARD, ROS	DIRECTOR OF INVESTMENTS/SENIOR VICE PRESIDENT	Na	yes	03/2012	Apr 12, 2012	Aug 29, 2012
EGALKA, RONALD, MARK	PRESIDENT/CEO/CIO/DIRECTOR	C	yes	09/1983	Apr 12, 2012	Aug 29, 2012
FRALEY, DAVID, ROSS	DIRECTOR OF CLIENT SERVICES/EVP	C	yes	02/1984	Apr 12, 2012	Aug 29, 2012
CANCELA, DEBBIE, LYNN	DIRECTOR, MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER	Na	no	07/2008	Apr 12, 2012	Aug 29, 2012

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
RAMPART SECURITIES, INC	n/a	n/a	n/a	Y	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
2012	Aug 29, 2012	$1.3B	$1.3B	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
2012	$1.3B	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Controls (3)

← DAVIS, RICHARD, ROSOwnerDIRECTOR OF INVESTMENTS/SENIOR VICE PRESIDENT, ownership code NA, individual
Apr 12, 2012 to presentfactForm ADV
← FRALEY, DAVID, ROSSOwnerDIRECTOR OF CLIENT SERVICES/EVP, ownership code C, individual
Apr 12, 2012 to presentfactForm ADV
← EGALKA, RONALD, MARKOwnerPRESIDENT/CEO/CIO/DIRECTOR, ownership code C, individual
Apr 12, 2012 to presentfactForm ADV

Owns (1)

← CANCELA, DEBBIE, LYNNOwnerDIRECTOR, MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Apr 12, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e147a53d-f29d-57ca-7e95-bbaf5741a140
First observed: Apr 12, 2012
Last observed: Aug 29, 2012 171 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.

RAMPART INVESTMENT MANAGEMENT

RAMPART INVESTMENT MANAGEMENT CO INC, CRD 111673

BOSTON, 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:e147a53d-f29d-57ca-7e95-bbaf5741a140

Data as of Aug 29, 2012 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:30 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

DAVIS, RICHARD, ROS

DIRECTOR OF INVESTMENTS/SENIOR VICE PRESIDENT

yes

03/2012

Apr 12, 2012

Aug 29, 2012

EGALKA, RONALD, MARK

PRESIDENT/CEO/CIO/DIRECTOR

yes

09/1983

Apr 12, 2012

Aug 29, 2012

FRALEY, DAVID, ROSS

DIRECTOR OF CLIENT SERVICES/EVP

yes

02/1984

Apr 12, 2012

Aug 29, 2012

CANCELA, DEBBIE, LYNN

DIRECTOR, MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER

07/2008

Apr 12, 2012

Aug 29, 2012

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

RAMPART SECURITIES, INC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2012

Aug 29, 2012

$1.3B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2012

$1.3B

n/a