DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Derby And Company Inc

Former SEC-registered adviserNewton, MassachusettsCRD 106924SEC 801-30056IAPD
Latest filing Nov 26, 2021
First filing on the tape Mar 20, 2012 · 30 filings
RAUM
$691M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
83%
$577M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
15
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
$54.0M gross assets
History
30 filings and snapshots on the tape
RAUM$691M as of Mar 31, 2021
Mar 30, 2012$460M then
HNW client RAUM$519M as of Mar 31, 2021
Mar 30, 2018$366M then
State-registered IARs (5.B.3)6 as of Mar 31, 2021
Apr 1, 20133 then
Employees (5.A)15 as of Mar 31, 2021
Apr 1, 201320 then
Private funds5 as of Mar 31, 2021
Mar 30, 20127 then
RAUM +11% over the last fiscal year+6.8% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Nov 26, 2021; every figure names its basis
RAUM per advisor
$115MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
63derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.6MderivedHNW RAUM over HNW clients
Average account
$779,361derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
8.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.5derivedItem 5.A over advisors
Advisors per office
6.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+11%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+1.6%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consultingreportedItem 5.G
Custody
$185M, 149 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$519M75%
  • Individuals$57.7M8.4%
  • Pension and profit-sharing plans$55.7M8.1%
  • Pooled investment vehicles$53.9M7.8%
  • Charitable organizations$3.9M0.6%
  • Corporations and businesses$608,8930.1%
Individual clients
175reported
HNW clients
202reported
Pension plan clients
34reported
Charitable clients
n/areported
Accounts
887reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
$185M for 149 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    11 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    Dcm Income Opportunity Partnership, LP Class AHedge Fund$33.2M90Mar 20, 2012
    Dcm Real Estate Partners IV, LLCno longer reportedReal Estate Fund$10.0M67Mar 20, 2012
    Dcm Global Strategies Partnerhip, L.P.no longer reportedHedge Fund$8.4M37Mar 20, 2012
    Dcm Income Opportunity Partnership, LP Class Re6Real Estate Fund$6.7M55Mar 31, 2021
    Dcm Income Opportunity Partnership, LP Class Dl2Private Equity Fund$5.6M35Mar 31, 2021
    Dcm Real Estate Partners ViiReal Estate Fund$4.9M56Mar 29, 2019
    Dcm Income Opportunity Partnership, LP Class Dl1Private Equity Fund$3.6M25Mar 31, 2021
    Dcm Real Estate Partners III, LLCno longer reportedReal Estate Fund$3.2M75Mar 20, 2012
    Dcm Real Estate Partners, LLCno longer reportedReal Estate Fund$1.5M38Mar 20, 2012
    Dcm Real Estate Partners Vno longer reportedReal Estate Fund$401,45843Mar 20, 2012
    Dcm Real Estate Partners V Qp, LLCno longer reportedReal Estate Fund$125,96110Mar 20, 2012
    Owners and control persons
    Schedule A and B, latest filing
    • Jay Jonathan Derby · Vice President And Chief Compliance Officercontrol
      since 07/1992 · owns 50% to 75%
    • Alan Mark Derby · President, Ceocontrol
      since 01/1989 · owns 50% to 75%
    Related persons
    Schedule D 7.A
    • Derby Capital Management, LLC
      pooled vehicle sponsorn
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 882 to 887
      May 19, 2020 to Mar 31, 2021
    • HNW clients · 188 to 202
      May 19, 2020 to Mar 31, 2021
    • Individual clients · 183 to 175
      May 19, 2020 to Mar 31, 2021
    • Pension plan clients · 39 to 34
      May 19, 2020 to Mar 31, 2021
    • Pooled vehicle clients · unset to 5.0
      May 19, 2020 to Mar 31, 2021
    • Assets in custody · $241M to $185M
      May 19, 2020 to Mar 31, 2021
    • Employees · 11 to 15
      May 19, 2020 to Mar 31, 2021
    • Private funds · 2 to 5
      May 19, 2020 to Mar 31, 2021
    • Discretionary RAUM · $622M to $690M
      May 19, 2020 to Mar 31, 2021
    • HNW RAUM · $490M to $519M
      May 19, 2020 to Mar 31, 2021
    • Individual RAUM · $68.9M to $57.7M
      May 19, 2020 to Mar 31, 2021
    • Non-discretionary RAUM · $0 to $1.2M
      May 19, 2020 to Mar 31, 2021
    • Pension RAUM · $57.9M to $55.7M
      May 19, 2020 to Mar 31, 2021
    • Pooled vehicle RAUM · unset to 53939406.0
      May 19, 2020 to Mar 31, 2021
    • RAUM · $622M to $691M
      May 19, 2020 to Mar 31, 2021
    • Accounts · 832 to 882
      Nov 20, 2019 to Mar 30, 2020
    • Advisory employees · 4 to 6
      Nov 20, 2019 to Mar 30, 2020
    • Advisory activities · 4 to 5
      Nov 20, 2019 to Mar 30, 2020
    • HNW clients · 167 to 188
      Nov 20, 2019 to Mar 30, 2020
    • Pooled vehicle clients · 5.0 to unset
      Nov 20, 2019 to Mar 30, 2020
    • Assets in custody · $166M to $241M
      Nov 20, 2019 to Mar 30, 2020
    • Employees · 13 to 11
      Nov 20, 2019 to Mar 30, 2020
    • State-registered IARs · 5 to 6
      Nov 20, 2019 to Mar 30, 2020
    • Private funds · 5 to 2
      Nov 20, 2019 to Mar 30, 2020
    • Discretionary RAUM · $528M to $622M
      Nov 20, 2019 to Mar 30, 2020
    • HNW RAUM · $356M to $490M
      Nov 20, 2019 to Mar 30, 2020
    • Individual RAUM · $62.2M to $68.9M
      Nov 20, 2019 to Mar 30, 2020
    • Non-discretionary RAUM · $1.5M to $0
      Nov 20, 2019 to Mar 30, 2020
    • Pension RAUM · $46.2M to $57.9M
      Nov 20, 2019 to Mar 30, 2020
    • Pooled vehicle RAUM · 61678713.0 to unset
      Nov 20, 2019 to Mar 30, 2020
    • RAUM · $530M to $622M
      Nov 20, 2019 to Mar 30, 2020
    • Charity clients · 2.0 to unset
      Mar 30, 2018 to Mar 29, 2019
    • Corporate clients · 2.0 to unset
      Mar 30, 2018 to Mar 29, 2019
    • HNW clients · 135 to 167
      Mar 30, 2018 to Mar 29, 2019
    • Individual clients · 234 to 183
      Mar 30, 2018 to Mar 29, 2019
    • Pension plan clients · 46 to 39
      Mar 30, 2018 to Mar 29, 2019
    • Pooled vehicle clients · 4 to 5
      Mar 30, 2018 to Mar 29, 2019
    • Assets in custody · $116M to $166M
      Mar 30, 2018 to Mar 29, 2019
    • Employees · 14 to 13
      Mar 30, 2018 to Mar 29, 2019
    • Financial planning clients · 101-250 to 251-500
      Mar 30, 2018 to Mar 29, 2019
    Signals
    2 dated events
    • Ann Tanya Kerrigan (General Counsel And Chief Compliance Officer) no longer on Schedule A of Derby And Company Inc (listed 2021-03-31, absent 2021-11-26)
      Nov 26, 2021 · Control person left · inference
    • Ann Tanya Kerrigan (General Counsel And Chief Compliance Officer) appeared on Schedule A of Derby And Company Inc
      Mar 31, 2021 · Control person joined · fact
    Across DFX
    shared identifiers only, never a name match
    Provenance
    Form ADV
    SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
    Advisors
    IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
    Class
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026
    Across the graphs

    Derby And Company Inc is the same institution as 1 record in Real Estate Funds.

    Real Estate Funds1

    Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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