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

KNOTT ASSET MANAGEMENT, LLC

CRD 141640

CAMBRIDGE, 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:ed7b2c45-06dc-d250-ef17-7800cf7aa5a1

Data as of Apr 1, 2013 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:30 PM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 0
On other graphs: 0
Observed: Mar 23, 2012 to Apr 1, 2013
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: $84.7MItem 5.F on the latest filing (2013-04-01); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $80.2M
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: 13
Advisory employees: 6
Accounts: 163
SEC number: 801-72353
CRD: 141640
Filings on the tape: 3
First filed: Mar 23, 2012
Latest filed: Apr 1, 2013
Organised: Limited Liability Company, 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
CASSARO, JOSEPH, A.	CHIEF OPERATING OFFICER	Na	yes	01/2012	Mar 23, 2012	Apr 1, 2013
ESPOSITO, VINCENT, JAMES	Partner	C	yes	11/2009	Mar 23, 2012	Apr 1, 2013
FUND FOR PRIVATE INVESTMENTS, S.A	Owner	E	yes	01/2012	Mar 23, 2012	Apr 1, 2013
HOGUET, GEOFFREY, ROBERT	Partner	C	yes	11/2009	Mar 23, 2012	Apr 1, 2013
LEMONS, DAVID, WAYNE	MANAGING MEMBER	A	yes	08/2006	Mar 23, 2012	Apr 1, 2013
NPI CAPITAL, LP	MANAGING MEMBER	E	yes	09/2009	Mar 23, 2012	Apr 1, 2013
NPI PARTNERS, LLC	GENERAL PARTNER OF NPI CAPITAL	Na	yes	11/2009	Mar 23, 2012	Apr 1, 2013
NPI PARTNERS, LLC	GENERAL PARTNER	F	yes	11/2009	Mar 23, 2012	Apr 1, 2013
SCHERBAKOV, VLADIMIR, IVANOVICH	Owner	E	yes	12/2011	Mar 23, 2012	Apr 1, 2013
WELTON INVESTMENTS LLC	Partner	E	yes	01/2012	Mar 23, 2012	Apr 1, 2013
BLACKBRIAR GROUP LLC	Partner	C	no	11/2009	Mar 23, 2012	Apr 1, 2013
CARLEY, LINDA, COOK	CHIEF COMPLIANCE OFFICER	Na	no	03/2012	Mar 23, 2012	Apr 1, 2013

Offices

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

City	State	Country	Employees	Also broker-dealer
Exton	Pa	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
2012	Apr 1, 2013	$84.7M	$80.2M	13	6	n/a	n/a	n/a
2011	Mar 23, 2012	$101M	$90.0M	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
2012	$84.7M	$101M	-16.4%	n/a	n/a	13	n/a	n/a	n/a

Relationships

Controls (9)

← ESPOSITO, VINCENT, JAMESOwnerPARTNER, ownership code C, individual
Mar 23, 2012 to presentfactForm ADV
← LEMONS, DAVID, WAYNEOwnerMANAGING MEMBER, ownership code A, individual
Mar 23, 2012 to presentfactForm ADV
← CASSARO, JOSEPH, A.OwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Mar 23, 2012 to presentfactForm ADV
← HOGUET, GEOFFREY, ROBERTOwnerPARTNER, ownership code C, individual
Mar 23, 2012 to presentfactForm ADV
← SCHERBAKOV, VLADIMIR, IVANOVICHOwnerOWNER, ownership code E, individual
Mar 23, 2012 to presentfactForm ADV
← FUND FOR PRIVATE INVESTMENTS, S.AOwnerOWNER, ownership code E, foreign entity
Mar 23, 2012 to presentfactForm ADV
← NPI CAPITAL, LPOwnerMANAGING MEMBER, ownership code E, domestic entity
Mar 23, 2012 to presentfactForm ADV
← NPI PARTNERS, LLCOwnerGENERAL PARTNER, ownership code F, domestic entity
Mar 23, 2012 to presentfactForm ADV
← WELTON INVESTMENTS LLCOwnerPARTNER, ownership code E, domestic entity
Mar 23, 2012 to presentfactForm ADV

Owns (2)

← CARLEY, LINDA, COOKOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 23, 2012 to presentfactForm ADV
← BLACKBRIAR GROUP LLCOwnerPARTNER, ownership code C, domestic entity
Mar 23, 2012 to presentfactForm ADV

Registered with (1)

← CHRISTOPHER RONALD MILLERAdvisorregistration: previous registration
Jun 6, 2011 to Aug 20, 2012factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ed7b2c45-06dc-d250-ef17-7800cf7aa5a1
First observed: Mar 23, 2012
Last observed: Apr 1, 2013 164 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.

KNOTT ASSET MANAGEMENT, LLC

CRD 141640

CAMBRIDGE, 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:ed7b2c45-06dc-d250-ef17-7800cf7aa5a1

Data as of Apr 1, 2013 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:30 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CASSARO, JOSEPH, A.

CHIEF OPERATING OFFICER

yes

01/2012

Mar 23, 2012

Apr 1, 2013

ESPOSITO, VINCENT, JAMES

Partner

yes

11/2009

Mar 23, 2012

Apr 1, 2013

FUND FOR PRIVATE INVESTMENTS, S.A

Owner

yes

01/2012

Mar 23, 2012

Apr 1, 2013

HOGUET, GEOFFREY, ROBERT

Partner

yes

11/2009

Mar 23, 2012

Apr 1, 2013

LEMONS, DAVID, WAYNE

MANAGING MEMBER

yes

08/2006

Mar 23, 2012

Apr 1, 2013

NPI CAPITAL, LP

MANAGING MEMBER

yes

09/2009

Mar 23, 2012

Apr 1, 2013

NPI PARTNERS, LLC

GENERAL PARTNER OF NPI CAPITAL

yes

11/2009

Mar 23, 2012

Apr 1, 2013

NPI PARTNERS, LLC

GENERAL PARTNER

yes

11/2009

Mar 23, 2012

Apr 1, 2013

SCHERBAKOV, VLADIMIR, IVANOVICH

Owner

yes

12/2011

Mar 23, 2012

Apr 1, 2013

WELTON INVESTMENTS LLC

Partner

yes

01/2012

Mar 23, 2012

Apr 1, 2013

BLACKBRIAR GROUP LLC

Partner

11/2009

Mar 23, 2012

Apr 1, 2013

CARLEY, LINDA, COOK

CHIEF COMPLIANCE OFFICER

03/2012

Mar 23, 2012

Apr 1, 2013

City

State

Country

Employees

Also broker-dealer

Exton

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2012

Apr 1, 2013

$84.7M

$80.2M

n/a

2011

Mar 23, 2012

$101M

$90.0M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2012

$84.7M

$101M

-16.4%

n/a