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Former SEC-registered adviser

A•••••••• I••••••••• A•••••••• L••

Former SEC-registered adviserPortsmouth, New HampshireCRD 285753SEC 801-108591IAPD
Latest filing Oct 21, 2021
First filing on the tape Oct 25, 2016 · 13 filings
RAUM
$44.6M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$22.3M
derived; firm RAUM over IAPD count
Employees
18
11 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$158M as of Mar 26, 2021
Mar 1, 2017$128M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 26, 2021
Mar 1, 20170 then
Employees (5.A)18 as of Mar 26, 2021
Mar 1, 201720 then
Private funds: no history
RAUM -68% over the last fiscal year-39% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Oct 21, 2021; every figure names its basis
RAUM per advisor
$22.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$22.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
9.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+15%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$2.6M, 2 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$44.6M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$2.6M for 2 clientsreported
Compensation
% of AUM, fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
K••• A••••• M••••Portsmouth, NhApr 13, 202314 y0
S•••••••• L•• B•••••••Portsmouth, NhAug 1, 202412 y0
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • A•••••••• C•••••••• A••••• · Ceo, Coocontrol
        since 03/2016 · owns less than 5%
      • M••••••••• M••••••• N•• · Presidentcontrol
        since 03/2016 · owns less than 5%
      • Y••••• Y•••••••• N•• · Cfocontrol
        since 07/2016 · owns less than 5%
      • A•••••••• C•••••••• A••••• · Managing Membercontrol
        since 03/2016 · owns 25% to 50% of A•••••••• G••••• L••
      • M••••••••• M••••••• N•• · Managing Membercontrol
        since 03/2016 · owns 25% to 50% of A•••••••• G••••• L••
      • P••••••••• M••••••• C••• · Managing Membercontrol
        since 03/2016 · owns 25% to 50% of A•••••••• G••••• L••
      • M•••••• J••••••• L•• · Chief Compliance Officer
        since 09/2021 · owns less than 5%
      Entity owners
      • A•••••••• G••••• L•• · Managing Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      Office movement
      IAPD branch city; joins and departures in 12 months
      OfficeAdvisorsJoinedLeftTeams outForming
      Portsmouth, Nh · principal200
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 4 to 2
        Mar 26, 2021 to Oct 21, 2021
      • Advisory employees · 10 to 11
        Mar 26, 2021 to Oct 21, 2021
      • BD registered reps · 4 to 1
        Mar 26, 2021 to Oct 21, 2021
      • Pooled vehicle clients · 4 to 2
        Mar 26, 2021 to Oct 21, 2021
      • Assets in custody · $9.2M to $2.6M
        Mar 26, 2021 to Oct 21, 2021
      • Discretionary RAUM · $47.0M to $44.6M
        Mar 26, 2021 to Oct 21, 2021
      • Non-discretionary RAUM · $111M to $0
        Mar 26, 2021 to Oct 21, 2021
      • Pooled vehicle RAUM · $158M to $44.6M
        Mar 26, 2021 to Oct 21, 2021
      • RAUM · $158M to $44.6M
        Mar 26, 2021 to Oct 21, 2021
      • Related adviser · true to false
        Mar 26, 2021 to Oct 21, 2021
      • Assets in custody · $6.5M to $9.2M
        Mar 25, 2020 to Mar 26, 2021
      • Discretionary RAUM · $43.9M to $47.0M
        Mar 25, 2020 to Mar 26, 2021
      • Non-discretionary RAUM · $93.4M to $111M
        Mar 25, 2020 to Mar 26, 2021
      • Pooled vehicle RAUM · $137M to $158M
        Mar 25, 2020 to Mar 26, 2021
      • RAUM · $137M to $158M
        Mar 25, 2020 to Mar 26, 2021
      • Accounts · 6 to 4
        May 30, 2019 to Mar 25, 2020
      • Advisory employees · 11 to 10
        May 30, 2019 to Mar 25, 2020
      • Pooled vehicle clients · 6 to 4
        May 30, 2019 to Mar 25, 2020
      • Assets in custody · $8.4M to $6.5M
        May 30, 2019 to Mar 25, 2020
      • Employees · 19 to 18
        May 30, 2019 to Mar 25, 2020
      • State-registered IARs · 0 to 2
        May 30, 2019 to Mar 25, 2020
      • Other offices · 1 to 0
        May 30, 2019 to Mar 25, 2020
      • Discretionary RAUM · $23.8M to $43.9M
        May 30, 2019 to Mar 25, 2020
      • Non-discretionary RAUM · $199M to $93.4M
        May 30, 2019 to Mar 25, 2020
      • Pooled vehicle RAUM · $223M to $137M
        May 30, 2019 to Mar 25, 2020
      • RAUM · $223M to $137M
        May 30, 2019 to Mar 25, 2020
      • BD registered reps · 5 to 4
        Jan 31, 2019 to Mar 29, 2019
      • Assets in custody · $5.0M to $8.4M
        Jan 31, 2019 to Mar 29, 2019
      • Discretionary RAUM · $15.9M to $23.8M
        Jan 31, 2019 to Mar 29, 2019
      • Non-discretionary RAUM · $194M to $199M
        Jan 31, 2019 to Mar 29, 2019
      • Pooled vehicle RAUM · $210M to $223M
        Jan 31, 2019 to Mar 29, 2019
      • RAUM · $210M to $223M
        Jan 31, 2019 to Mar 29, 2019
      • Related adviser · false to true
        Jan 31, 2019 to Mar 29, 2019
      • Business name · S•• I••••••••• A•••••••• L•• to A•••••••• I••••••••• A•••••••• L••
        Jan 8, 2019 to Jan 31, 2019
      • Legal name · S•• I••••••••• A•••••••• L•• to A•••••••• I••••••••• A•••••••• L••
        Jan 8, 2019 to Jan 31, 2019
      • Accounts · 5 to 6
        Mar 29, 2018 to Jul 27, 2018
      • Pooled vehicle clients · 5 to 6
        Mar 29, 2018 to Jul 27, 2018
      • Assets in custody · $2.0M to $5.0M
        Mar 29, 2018 to Jul 27, 2018
      • Discretionary RAUM · $8.2M to $15.9M
        Mar 29, 2018 to Jul 27, 2018
      • Non-discretionary RAUM · $186M to $194M
        Mar 29, 2018 to Jul 27, 2018
      Signals
      2 dated events
      • A•••••••• I••••••••• A•••••••• L•• reported RAUM $44.6M, down 72% from $158.0M (2021-03-26 to 2021-10-21)
        Oct 21, 2021 · RAUM change · derived
      • S•• I••••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
        Oct 25, 2016 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      How to reach
      public business contact points only, each with its source
      Firm profile
      linkedin.com/company/arboretum-investment-advisorsreportedpublic record, Form ADV, Sep 21, 2026
      Website
      THEA••••••••GROUP.COMreportedpublic record, Form ADV, Sep 21, 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
      $22.3Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026