DFX Intelligence

Data Factory

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

ARBOR CAPITAL MANAGEMENT CORP

CRD 106461

AMHERST, NY

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:ffca06da-f729-48fd-d8b2-45f0c3887f62

Data as of Mar 14, 2024 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:21 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 6
On other graphs: 1
Observed: Mar 6, 2012 to Mar 14, 2024
19 observations

Across DFX

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

Allocatorsidentity

Arbor Capital Management

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: $934MItem 5.F on the latest filing (2024-03-14); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $403M
Private client RAUM: $459MderivedItem 5.D individuals plus high net worth individuals
Private client share: 49%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7
Advisory employees: 5
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 386
Individual clients: 139
High net worth clients: 109
SEC number: 801-47941
CRD: 106461
Filings on the tape: 19
First filed: Mar 6, 2012
Latest filed: Mar 14, 2024
Organised: Corporation, New York

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
COLE, GERALD, THOMAS	VICE PRESIDENT	D	yes	03/1995	Mar 6, 2012	Mar 14, 2024
MCGOWAN, LAWRENCE, THOMAS	PRESIDENT & CHIEF COMPLIANCE OFFICER	D	yes	03/1995	Mar 6, 2012	Mar 14, 2024

Offices

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

City	State	Country	Employees	Also broker-dealer
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
2023	Mar 14, 2024	$934M	$403M	7	5	1	n/a	n/a
2022	Mar 13, 2023	$942M	$374M	7	5	1	n/a	n/a
2021	Mar 17, 2022	$1.1B	$430M	7	5	1	n/a	n/a
2020	Mar 26, 2021	$1.0B	$388M	7	5	1	n/a	n/a
2019	Mar 25, 2020	$962M	$366M	7	5	1	n/a	n/a
2018	Mar 21, 2019	$918M	$428M	7	5	1	n/a	n/a
2017	Mar 30, 2018	$910M	$335M	9	3	0	n/a	n/a
2016	Feb 23, 2017	$858M	$354M	6	4	n/a	n/a	n/a
2015	Mar 11, 2016	$856M	$327M	6	4	n/a	n/a	n/a
2014	Mar 4, 2015	$860M	$425M	6	4	n/a	n/a	n/a
2013	Mar 7, 2014	$802M	$371M	6	4	n/a	n/a	n/a
2012	Mar 8, 2013	$726M	$294M	6	4	n/a	n/a	n/a
2011	Mar 6, 2012	$686M	$273M	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
2023	$934M	$942M	-0.9%	$1.0B	-3.0%	7	7	1	1

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
F L PUTNAM INVESTMENT MANAGEMENT CO.	4	Dec 6, 2024	Dec 2, 2024	AMHERST, NY	Firm absorbed	RIA to RIA	80.0%

Relationships

Controls (2)

← MCGOWAN, LAWRENCE, THOMASOwnerPRESIDENT & CHIEF COMPLIANCE OFFICER, ownership code D, individual
Mar 6, 2012 to presentfactForm ADV
← COLE, GERALD, THOMASOwnerVICE PRESIDENT, ownership code D, individual
Mar 6, 2012 to presentfactForm ADV

Registered with (6)

← LEONARDO MESAAdvisorregistration: previous registration
Oct 12, 2010 to Dec 6, 2024factForm ADV
← DANIEL M. TOOLEAdvisorregistration: previous registration
Mar 26, 2021 to Dec 6, 2024factForm ADV
← LAWRENCE THOMAS MCGOWANAdvisorregistration: previous registration
Mar 26, 2021 to Dec 6, 2024factForm ADV
← MAGDALENA JAWORSKAAdvisorregistration: previous registration
Jun 16, 2011 to Dec 6, 2024factForm ADV
← GERALD THOMAS COLEAdvisorregistration: previous registration
Jan 15, 2008 to Dec 6, 2024factForm ADV
← MATTHEW JAMES WILKINSONAdvisorregistration: previous registration
Jun 28, 2011 to Dec 7, 2017factForm ADV

Moved with (1)

→ F L PUTNAM INVESTMENT MANAGEMENT CO.Registered adviser4 advisors, firm absorbed, same day
Dec 6, 2024 to Dec 2, 2024factForm ADV

Dated events

Occurred
Dec 6, 2024
Firm absorbed
Arbor Capital Management Corp's advisors moved to F L Putnam Investment Management CO. (Amherst, NY): 4 of 5 registered, on the same day
Form ADVobserved 4 days ago
4 advisors
Occurred
Dec 6, 2024
Advisor changed firm
Lawrence Thomas Mcgowan left Arbor Capital Management Corp for F L Putnam Investment Management Co. (registered 2024-07-26)
Form ADVobserved 4 days ago
Occurred
Dec 6, 2024
Advisor changed firm
Leonardo Mesa left Arbor Capital Management Corp for F L Putnam Investment Management Co. (registered 2025-07-21)
Form ADVobserved 4 days ago
Occurred
Dec 6, 2024
Advisor changed firm
Daniel M. Toole left Arbor Capital Management Corp for F L Putnam Investment Management Co. (registered 2024-07-31)
Form ADVobserved 4 days ago
Occurred
Dec 6, 2024
Advisor changed firm
Magdalena Jaworska left Arbor Capital Management Corp for F L Putnam Investment Management Co. (registered 2024-07-18)
Form ADVobserved 4 days ago
Occurred
Dec 6, 2024
Advisor changed firm
Gerald Thomas Cole left Arbor Capital Management Corp for F L Putnam Investment Management Co. (registered 2024-12-02)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ffca06da-f729-48fd-d8b2-45f0c3887f62
First observed: Mar 6, 2012
Last observed: Mar 14, 2024 30 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.

ARBOR CAPITAL MANAGEMENT CORP

CRD 106461

AMHERST, NY

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:ffca06da-f729-48fd-d8b2-45f0c3887f62

Data as of Mar 14, 2024 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:21 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

COLE, GERALD, THOMAS

VICE PRESIDENT

yes

03/1995

Mar 6, 2012

Mar 14, 2024

MCGOWAN, LAWRENCE, THOMAS

PRESIDENT & CHIEF COMPLIANCE OFFICER

yes

03/1995

Mar 6, 2012

Mar 14, 2024

City

State

Country

Employees

Also broker-dealer

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2023

Mar 14, 2024

$934M

$403M

n/a

2022

Mar 13, 2023

$942M

$374M

n/a

2021

Mar 17, 2022

$1.1B

$430M

n/a

2020

Mar 26, 2021

$1.0B

$388M

n/a

2019

Mar 25, 2020

$962M

$366M

n/a

2018

Mar 21, 2019

$918M

$428M

n/a

2017

Mar 30, 2018

$910M

$335M

n/a

2016

Feb 23, 2017

$858M

$354M

n/a

2015

Mar 11, 2016

$856M

$327M

n/a

2014

Mar 4, 2015

$860M

$425M

n/a

2013

Mar 7, 2014

$802M

$371M

n/a

2012

Mar 8, 2013

$726M

$294M

n/a

2011

Mar 6, 2012

$686M

$273M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2023

$934M

$942M

-0.9%

$1.0B

-3.0%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

F L PUTNAM INVESTMENT MANAGEMENT CO.

Dec 6, 2024

Dec 2, 2024

AMHERST, NY

Firm absorbed

RIA to RIA

80.0%