Investment adviser · CRD 106924

DERBY AND COMPANY INC

Investment adviser filing (IA)

NEWTON, MA, United States · Form ADV filed Nov 26, 2021

Regulatory AUM: $691M
Client accounts: 887
Employees: 15
Advisory professionals: 6

Who they report serving

Form ADV · Item 5.D

Client types and their share of reported regulatory assets.

Client type	Clients	Regulatory assets	Share of AUM
High-net-worth individuals	202	$519,346,159	75.1%
Individuals	175	$57,741,038	8.4%
Retirement plans	34	$55,711,747	8.1%
Pooled investment vehicles	5	$53,939,406	7.8%
Charities	Fewer than 5	$3,946,235	0.6%
Corporations & businesses	Fewer than 5	$608,893	0.1%

Filing source

Form ADV 1580339 · Nov 26, 2021 · Item 5.D

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Private funds & service providers

11 Private funds

The count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.

DCM INCOME OPPORTUNITY PARTNERSHIP, LP CLASS AHedge Fund · Last reported Nov 26, 2021$33.2MGross asset value

Fund administrator NAV FUND ADMINISTRATION OAKBROOK TERRACE, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor MAYER HOFFMAN & MCCANN, PC. BOSTON, Massachusetts, United States

Custodian PERSHING LLC NEW JERSEY, New Jersey, United States Related to adviser: No

Prime broker PERSHING LLC JERSEY CITY, New Jersey, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

MAYER HOFFMAN & MCCANN, PC.
PCAOB 199

PERSHING LLC
SEC 8-17574

PERSHING LLC
CRD 7560 · SEC 8-17574

Fund details & source

Fund ID: 805-6256537233
Reported beneficial owners: 90
Minimum commitment: $300K

Form ADV 1580339 · Nov 26, 2021 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

DCM INCOME OPPORTUNITY PARTNERSHIP, LP CLASS RE6Real Estate Fund · Last reported Nov 26, 2021$6.73MGross asset value

Fund administrator NAV FUND ADMINISTRATION OAKBROOK TERRACE, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor MAYER HOFFMAN & MCCANN, PC. BOSTON, Massachusetts, United States

Custodian PERSHING LLC NEW JERSEY, New Jersey, United States Related to adviser: No

Prime broker PERSHING LLC JERSEY CITY, New Jersey, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

MAYER HOFFMAN & MCCANN, PC.
PCAOB 199

PERSHING LLC
SEC 8-17574

PERSHING LLC
CRD 7560 · SEC 8-17574

Fund details & source

Fund ID: 805-4016324985
Reported beneficial owners: 55
Minimum commitment: $300K

Form ADV 1580339 · Nov 26, 2021 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

DCM INCOME OPPORTUNITY PARTNERSHIP, LP CLASS DL2Private Equity Fund · Last reported Nov 26, 2021$5.55MGross asset value

Fund administrator NAV FUND ADMINISTRATION OAKBROOK TERRACE, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor MAYER HOFFMAN & MCCANN, PC. BOSTON, Massachusetts, United States

Custodian PERSHING LLC NEW JERSEY, New Jersey, United States Related to adviser: No

Prime broker PERSHING LLC JERSEY CITY, New Jersey, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

MAYER HOFFMAN & MCCANN, PC.
PCAOB 199

PERSHING LLC
SEC 8-17574

PERSHING LLC
CRD 7560 · SEC 8-17574

Fund details & source

Fund ID: 805-2914101451
Reported beneficial owners: 35
Minimum commitment: $100K

Form ADV 1580339 · Nov 26, 2021 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

DCM REAL ESTATE PARTNERS VIIReal Estate Fund · Last reported Nov 26, 2021$4.87MGross asset value

Fund administrator NAV FUND ADMINISTRATION OAKBROOK TERRACE, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor MAYER HOFFMAN & MCCANN, PC BOSTON, Massachusetts, United States

Custodian PERSHING LLC JERSEY CITY, New Jersey, United States Related to adviser: Yes

Prime broker PERSHING LLC JERSEY CITY, New Jersey, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

MAYER HOFFMAN & MCCANN, PC
PCAOB 199

PERSHING LLC
SEC 8-17574

PERSHING LLC
CRD 7560 · SEC 8-17574

Fund details & source

Fund ID: 805-3542379778
Reported beneficial owners: 56
Minimum commitment: $100K

Form ADV 1580339 · Nov 26, 2021 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

DCM INCOME OPPORTUNITY PARTNERSHIP, LP CLASS DL1Private Equity Fund · Last reported Nov 26, 2021$3.61MGross asset value

Fund administrator NAV FUND ADMINISTRATION OAKBROOK TERRACE, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor MAYER HOFFMAN & MCCANN, PC. BOSTON, Massachusetts, United States

Custodian PERSHING LLC NEW JERSEY, New Jersey, United States Related to adviser: No

Prime broker PERSHING LLC JERSEY CITY, New Jersey, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

MAYER HOFFMAN & MCCANN, PC.
PCAOB 199

PERSHING LLC
SEC 8-17574

PERSHING LLC
CRD 7560 · SEC 8-17574

Fund details & source

Fund ID: 805-3144971864
Reported beneficial owners: 25
Minimum commitment: $100K

Form ADV 1580339 · Nov 26, 2021 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

DCM REAL ESTATE PARTNERS IV, LLCReal Estate Fund · Last reported Mar 30, 2017$10MGross asset value

Fund administrator RAPHAEL AND RAPHAEL LLP BOSTON, Massachusetts, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor MEYER HOFFMAN MCCANN PC BOSTON, Massachusetts, United States

Custodian PERSHING LLC JERSEY CITY, New Jersey, United States Related to adviser: No

Prime broker PERSHING LLC JERSEY CITY, New Jersey, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

PERSHING LLC
SEC 8-17574

PERSHING LLC
CRD 7560 · SEC 8-17574

Fund details & source

Fund ID: 805-8137022459
Reported beneficial owners: 67
Minimum commitment: $150K

Form ADV 1097039 · Mar 30, 2017 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

DCM GLOBAL STRATEGIES PARTNERHIP, L.P.Hedge Fund · Last reported Mar 30, 2012$8.38MGross asset value

Fund administrator MICHAEL J. LICCAR & CO. CHICAGO, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor MAYER HOFFMAN MCCANN P.C. BOSTON, Massachusetts, United States

Custodian PERSHING LLC JERSEY CITY, New Jersey, United States Related to adviser: No

Prime broker PERSHING LLC JERSEY CITY, New Jersey, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

PERSHING LLC
SEC 8-17574

PERSHING LLC
CRD 7560 · SEC 8-17574

Fund details & source

Fund ID: 805-7853274594
Reported beneficial owners: 37
Minimum commitment: $250K

Form ADV 627000 · Mar 30, 2012 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Services & filing details

Most recent filing: Nov 26, 2021. View historical filings

Reported services

Financial planning · Individual portfolio management · Pooled investment vehicle management · Business portfolio management · Pension consulting

Compensation

Percentage of assets · Hourly · Fixed

Principal office

7 WELLS AVENUE
NEWTON, MA, 02459, United States

CRD 106924

Filing source

Form ADV 1580339 · Nov 26, 2021 · Items 1 & 5

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.