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
Fernwood Investment Management, LLC
Latest filing Aug 1, 2024
First filing on the tape Mar 27, 2012 · 30 filings
SEC status approved since Apr 11, 2003
RAUM
$436M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
94%
$409M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$26.5M gross assets
History
30 filings and snapshots on the tape
RAUM$437M as of Mar 25, 2024
Mar 27, 2012$207M then
HNW client RAUM$391M as of Mar 25, 2024
Mar 28, 2018$337M then
State-registered IARs (5.B.3)4 as of Mar 25, 2024
Mar 28, 20133 then
Employees (5.A)6 as of Mar 25, 2024
Mar 28, 20137 then
Private funds2 as of Mar 25, 2024
Mar 27, 20122 then
RAUM +9.3% over the last fiscal year+3.0% a year over threeIARs 5 to 4
Practice profile
derived from the filing of Aug 1, 2024; every figure names its basis
- RAUM per advisor
- $109MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 49derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.6MderivedHNW RAUM over HNW clients
- Average account
- $584,845derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- -20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -20%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $6.5M, 18 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$394M90%
- Pooled investment vehicles$26.5M6.1%
- Individuals$15.0M3.5%
- Individual clients
- 83reported
- HNW clients
- 111reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 745reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $6.5M for 18 clientsreported
- Compensation
- % of AUM, performancereported
- 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
- Thomas Patrick Reilly to Cw Advisors, LLCFeb 7, 2025 · RIA to RIA
- Frederick Marcus Warburg to Cw Advisors, LLCFeb 3, 2025 · RIA to RIA
- Kristen Jane Holland to Cw Advisors, LLCFeb 3, 2025 · RIA to RIA
- Jeffrey James Vincent to Vincent Wealth Advisors LLCOct 21, 2024 · RIA to a newly registered adviser
- Catherine Vanessa Faddis to Emerge Capital ManagementAug 16, 2023 · Other
- Nancy Schaffer Von Stackelberg to Radius Wealth Management, Inc.Mar 6, 2014 · Other
- Frederick Marcus Warburg to Siharum Advisors, LLCNov 22, 2011 · Other
Joined, latest
- Catherine Vanessa Faddis from Grace CapitalNov 17, 2022 · RIA to RIA
- Frederick Marcus Warburg from Siharum Advisors, LLCMar 4, 2020 · Other
- Jeffrey James Vincent from Vincent Financial GroupNov 15, 2017 · Other
- Nancy Schaffer Von Stackelberg from Fidelity Personal Trust Company, FsbOct 9, 2008 · Other
- Thomas Patrick Reilly from Bainco International Investors LLCJun 30, 2003 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for Cw Advisors, LLCFeb 3, 2025 · Hull, Ma · Firm absorbed
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Pennmont Fund, L.P. | Hedge Fund | $20.5M | 64 | Mar 27, 2012 |
| Fernwood Gxt /Prain, LLC | Private Equity Fund | $6.0M | 30 | Mar 27, 2019 |
| Cv Ino longer reported | Private Equity Fund | $55,000 | 11 | Mar 27, 2012 |
Owners and control persons
Schedule A and B, latest filing
- Patrick Thomas Reilly · Managing Membercontrolsince 02/2003 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Hull, Ma | 0 | 0 | 0 | ||
| Quincy, Ma · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 737 to 745Mar 25, 2024 to Apr 4, 2024
- HNW clients · 116 to 111Mar 25, 2024 to Apr 4, 2024
- Individual clients · 104 to 83Mar 25, 2024 to Apr 4, 2024
- Discretionary RAUM · $431M to $430MMar 25, 2024 to Apr 4, 2024
- HNW RAUM · $391M to $394MMar 25, 2024 to Apr 4, 2024
- Individual RAUM · $18.6M to $15.0MMar 25, 2024 to Apr 4, 2024
- Non-discretionary RAUM · $6.0M to $5.3MMar 25, 2024 to Apr 4, 2024
- Pooled vehicle RAUM · $26.9M to $26.5MMar 25, 2024 to Apr 4, 2024
- RAUM · $437M to $436MMar 25, 2024 to Apr 4, 2024
- Accounts · 878 to 737Oct 17, 2023 to Mar 25, 2024
- Advisory employees · 5 to 4Oct 17, 2023 to Mar 25, 2024
- HNW clients · 119 to 116Oct 17, 2023 to Mar 25, 2024
- Individual clients · 154 to 104Oct 17, 2023 to Mar 25, 2024
- Assets in custody · $8.9M to $6.5MOct 17, 2023 to Mar 25, 2024
- Employees · 7 to 6Oct 17, 2023 to Mar 25, 2024
- State-registered IARs · 5 to 4Oct 17, 2023 to Mar 25, 2024
- Discretionary RAUM · $390M to $431MOct 17, 2023 to Mar 25, 2024
- HNW RAUM · $337M to $391MOct 17, 2023 to Mar 25, 2024
- Individual RAUM · $37.3M to $18.6MOct 17, 2023 to Mar 25, 2024
- Non-discretionary RAUM · $8.1M to $6.0MOct 17, 2023 to Mar 25, 2024
- Pooled vehicle RAUM · $24.5M to $26.9MOct 17, 2023 to Mar 25, 2024
- RAUM · $399M to $437MOct 17, 2023 to Mar 25, 2024
- HNW clients · 120 to 119May 25, 2023 to Oct 17, 2023
- Pooled vehicle clients · unset to 2.0May 25, 2023 to Oct 17, 2023
- HNW RAUM · $361M to $337MMay 25, 2023 to Oct 17, 2023
- Pooled vehicle RAUM · unset to 24500000.0May 25, 2023 to Oct 17, 2023
- Accounts · 689 to 878Jan 4, 2023 to Mar 27, 2023
- Advisory employees · 4 to 5Jan 4, 2023 to Mar 27, 2023
- HNW clients · 112 to 120Jan 4, 2023 to Mar 27, 2023
- Individual clients · 85 to 154Jan 4, 2023 to Mar 27, 2023
- Assets in custody · $43.3M to $8.9MJan 4, 2023 to Mar 27, 2023
- Employees · 6 to 7Jan 4, 2023 to Mar 27, 2023
- State-registered IARs · 4 to 5Jan 4, 2023 to Mar 27, 2023
- Discretionary RAUM · $435M to $390MJan 4, 2023 to Mar 27, 2023
- HNW RAUM · $405M to $361MJan 4, 2023 to Mar 27, 2023
- Individual RAUM · $39.9M to $37.3MJan 4, 2023 to Mar 27, 2023
- Non-discretionary RAUM · $9.6M to $8.1MJan 4, 2023 to Mar 27, 2023
- RAUM · $445M to $399MJan 4, 2023 to Mar 27, 2023
- Accounts · 671 to 689Mar 23, 2021 to Mar 28, 2022
- HNW clients · 109 to 112Mar 23, 2021 to Mar 28, 2022
Signals
8 dated events
- Fernwood Investment Management, Llc no longer on the SEC adviser roster (last listed 2025-02-03, RAUM $435.7M)Mar 6, 2025 · Left the SEC roster · derived
- Thomas Patrick Reilly left Fernwood Investment Management, Llc for Cw Advisors, Llc (registered 2025-02-03)Feb 7, 2025 · Advisor changed firm · fact
- Frederick Marcus Warburg left Fernwood Investment Management, Llc for Cw Advisors, Llc (registered 2025-02-05)Feb 3, 2025 · Advisor changed firm · fact
- Kristen Jane Holland left Fernwood Investment Management, Llc for Cw Advisors, Llc (registered 2025-02-05)Feb 3, 2025 · Advisor changed firm · fact
- Fernwood Investment Management, LLC's advisors moved to CW Advisors, LLC (Hull, MA): 3 of 3 registered, within 4 daysFeb 3, 2025 · Firm absorbed (people side) · derived
- Jeffrey James Vincent left Fernwood Investment Management, Llc for Vincent Wealth Advisors Llc (registered 2024-09-13)Oct 21, 2024 · Advisor changed firm · fact
- Catherine Vanessa Faddis left Fernwood Investment Management, Llc for Emerge Capital Management (registered 2022-11-17)Aug 16, 2023 · Advisor changed firm · fact
- Fernwood Investment Management, Llc reported RAUM $360.1M, up 66% from $216.7M (2018-01-08 to 2018-03-28)Mar 28, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- Point Allerton LLC · Independent Sponsorsshared crd · capital_provider
- Fernwood Investment Management, LLC · Private Equityshared crd · organization
- Point Allerton LLC · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- ptallerton.comreportedpublic record, Form ADV, Sep 17, 2026
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