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

3D ASSET MANAGEMENT, INC.

CRD 139595

HARTFORD, CT

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:f757f40d-8658-e805-6b10-a02b42cb029c

Data as of Aug 28, 2020 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:14 AM UTC and rebuilt at most every 15 minutes.

Relationships: 26
Dated events: 1
On other graphs: 1
Observed: Mar 29, 2012 to Aug 28, 2020
26 observations

Across DFX

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

Allocatorsidentity

3d Asset Management, Inc.

Investment consultant · 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: $603MItem 5.F on the latest filing (2020-08-28); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $603M
Private client RAUM: $390MderivedItem 5.D individuals plus high net worth individuals
Private client share: 65%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 15
Advisory employees: 11
Offices: 5Schedule D 1.F, beyond the principal office
Accounts: 1,838
Individual clients: 857
High net worth clients: 70
Custody, client assets: $96.7M
SEC number: 801-68413
CRD: 139595
Filings on the tape: 26
First filed: Mar 29, 2012
Latest filed: Aug 28, 2020
Organised: Corporation, Delaware

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
CONNORS, WAYNE, NMN	DIRECTOR & SHAREHOLDER	B	yes	05/2013	Mar 29, 2012	Aug 28, 2020
FRANKENHOFF, CHRISTOPHER, MICHAEL	DIRECTOR & SHAREHOLDER	C	yes	04/2007	Mar 29, 2012	Aug 28, 2020
LAVINE, BENJAMIN, MARSHAL	CHIEF INVESTMENT OFFICER & SHAREHOLDER	Na	yes	09/2015	Mar 30, 2020	Aug 28, 2020
O'CONNOR, JOHN, ARTHUR	PRESIDENT, DIRECTOR & SHAREHOLDER	C	yes	11/2005	Mar 29, 2012	Aug 28, 2020
O'CONNOR, SHERYL, MARY	Shareholder	C	yes	03/2006	Dec 14, 2012	Aug 28, 2020
LUCICH, ANDREW, THOMAS	CHIEF COMPLIANCE OFFICER	Na	no	04/2016	May 12, 2016	Aug 28, 2020

Offices

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

City	State	Country	Employees	Also broker-dealer
Northborough	Ma	United States	5	no
Scottsdale	Az	United States	1	no
n/a	n/a	n/a	1	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
2019	Mar 30, 2020	$603M	$603M	15	11	5	n/a	n/a
2018	Mar 29, 2019	$533M	$533M	16	10	3	n/a	n/a
2017	Mar 28, 2018	$577M	$577M	15	8	3	n/a	n/a
2016	Mar 31, 2017	$490M	$490M	16	9	n/a	n/a	n/a
2015	Mar 29, 2016	$459M	$459M	17	7	n/a	n/a	n/a
2014	Mar 19, 2015	$469M	$469M	19	8	n/a	n/a	n/a
2013	Mar 24, 2014	$462M	$462M	15	4	n/a	n/a	n/a
2012	Mar 22, 2013	$390M	$390M	10	4	n/a	n/a	n/a
2011	Mar 29, 2012	$331M	$331M	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
2019	$603M	$533M	13.2%	$490M	7.2%	15	16	5	3

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
3D/L CAPITAL MANAGEMENT, LLC	2	Mar 31, 2021	Apr 8, 2021	HARTFORD, CT	Team lift out	RIA to RIA	25.0%
3D/L CAPITAL MANAGEMENT, LLC	3	Mar 31, 2021	Apr 13, 2021	NORTHBOROUGH, MA	Team lift out	RIA to RIA	37.5%

Relationships

Controls (5)

← O'CONNOR, JOHN, ARTHUROwnerPRESIDENT, DIRECTOR & SHAREHOLDER, ownership code C, individual
Mar 29, 2012 to presentfactForm ADV
← CONNORS, WAYNE, NMNOwnerDIRECTOR & SHAREHOLDER, ownership code B, individual
Mar 29, 2012 to presentfactForm ADV
← FRANKENHOFF, CHRISTOPHER, MICHAELOwnerDIRECTOR & SHAREHOLDER, ownership code C, individual
Mar 29, 2012 to presentfactForm ADV
← O'CONNOR, SHERYL, MARYOwnerSHAREHOLDER, ownership code C, individual
Dec 14, 2012 to presentfactForm ADV
← LAVINE, BENJAMIN, MARSHALOwnerCHIEF INVESTMENT OFFICER & SHAREHOLDER, ownership code NA, individual
Mar 30, 2020 to presentfactForm ADV

Owns (1)

← LUCICH, ANDREW, THOMASOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
May 12, 2016 to presentfactForm ADV

Moved with (1)

→ 3D/L CAPITAL MANAGEMENT, LLCRegistered adviser3 advisors, team lift out, same day
Mar 31, 2021 to Apr 13, 2021factForm ADV

Registered with (16)

← JOHN ARTHUR O'CONNORAdvisorregistration: previous registration
Sep 21, 2016 to Mar 31, 2021factForm ADV
← KEITH KRISTAN LINDBERGAdvisorregistration: previous registration
Oct 11, 2007 to Mar 31, 2021factForm ADV
← JAMES LOUIS MATTAdvisorregistration: previous registration
Mar 26, 2020 to Mar 31, 2021factForm ADV
← BRIAN EDWARD HAWLEYAdvisorregistration: previous registration
Jan 31, 2007 to Mar 31, 2021factForm ADV
← MICHAEL PAUL OTTERSONAdvisorregistration: previous registration
May 14, 2020 to Mar 31, 2021factForm ADV
← DANIEL WILLIAM SNYDERAdvisorregistration: previous registration
Feb 11, 2019 to Mar 31, 2021factForm ADV
← Matthew David ShuteAdvisorregistration: previous registration
Apr 29, 2016 to Mar 31, 2021factForm ADV
← SCOTT KEVIN HAWLEYAdvisorregistration: previous registration
May 16, 2016 to Mar 31, 2021factForm ADV
← WAYNE NMN CONNORSAdvisorregistration: previous registration
Feb 24, 2017 to Apr 3, 2017factForm ADV
← MARK STUART SCHAFFERAdvisorregistration: previous registration
May 5, 2016 to Jul 15, 2016factForm ADV
← Jason W. CowieAdvisorregistration: previous registration
Jun 7, 2014 to Dec 2, 2015factForm ADV
← CHRISTOPHER JAY DAVISAdvisorregistration: previous registration
May 5, 2014 to Nov 4, 2014factForm ADV
← Philip Michael NapolitanoAdvisorregistration: previous registration
Feb 4, 2014 to Nov 4, 2014factForm ADV
← TIMOTHY JOHN BAKERAdvisorregistration: previous registration
Nov 8, 2012 to Dec 4, 2013factForm ADV
← Edwin A. NunezAdvisorregistration: previous registration
Nov 9, 2012 to Nov 22, 2013factForm ADV
← MICHAEL LAWRENCE STORERAdvisorregistration: previous registration
Nov 9, 2012 to Nov 21, 2012factForm ADV

Dated events

Occurred
Mar 29, 2019
Control person left
Harold Raymond Noeker (Chief Financial Officer) no longer on Schedule A of 3D Asset Management, Inc. (listed 2018-12-21, absent 2019-03-29)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f757f40d-8658-e805-6b10-a02b42cb029c
First observed: Mar 29, 2012
Last observed: Aug 28, 2020 73 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.

3D ASSET MANAGEMENT, INC.

CRD 139595

HARTFORD, CT

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:f757f40d-8658-e805-6b10-a02b42cb029c

Data as of Aug 28, 2020 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:14 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CONNORS, WAYNE, NMN

DIRECTOR & SHAREHOLDER

yes

05/2013

Mar 29, 2012

Aug 28, 2020

FRANKENHOFF, CHRISTOPHER, MICHAEL

DIRECTOR & SHAREHOLDER

yes

04/2007

Mar 29, 2012

Aug 28, 2020

LAVINE, BENJAMIN, MARSHAL

CHIEF INVESTMENT OFFICER & SHAREHOLDER

yes

09/2015

Mar 30, 2020

Aug 28, 2020

O'CONNOR, JOHN, ARTHUR

PRESIDENT, DIRECTOR & SHAREHOLDER

yes

11/2005

Mar 29, 2012

Aug 28, 2020

O'CONNOR, SHERYL, MARY

Shareholder

yes

03/2006

Dec 14, 2012

Aug 28, 2020

LUCICH, ANDREW, THOMAS

CHIEF COMPLIANCE OFFICER

04/2016

May 12, 2016

Aug 28, 2020

City

State

Country

Employees

Also broker-dealer

Northborough

United States

Scottsdale

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2019

Mar 30, 2020

$603M

n/a

2018

Mar 29, 2019

$533M

n/a

2017

Mar 28, 2018

$577M

n/a

2016

Mar 31, 2017

$490M

n/a

2015

Mar 29, 2016

$459M

n/a

2014

Mar 19, 2015

$469M

n/a

2013

Mar 24, 2014

$462M

n/a

2012

Mar 22, 2013

$390M

n/a

2011

Mar 29, 2012

$331M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2019

$603M

$533M

13.2%

$490M

7.2%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

3D/L CAPITAL MANAGEMENT, LLC

Mar 31, 2021

Apr 8, 2021

HARTFORD, CT

Team lift out

RIA to RIA

25.0%

3D/L CAPITAL MANAGEMENT, LLC

Mar 31, 2021

Apr 13, 2021

NORTHBOROUGH, MA

Team lift out

RIA to RIA

37.5%