FERNWOOD INVESTMENT MANAGEMENT, LLC
Adviser information for FERNWOOD INVESTMENT MANAGEMENT, LLC last updated from Form ADV on March 25th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 4 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 726 | $430.8M |
| Non-Discretionary | 11 | $6.0M |
| Total | 737 | $436.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 104 | $18.6M |
| HNW Individuals | 116 | $391.3M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 2 | $26.9M |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMPerformance-based fees |
| Other Business Activities | Insurance broker or agent |
Principal Office
400 CROWN COLONY DRIVESUITE 101
QUINCY
MA
United States
Monday - Friday, 8:30 A.M. - 5:30 P.M.
Tel: 617-376-4750, Fax: 617-376-4754
Websites
Chief Compliance Officer
THOMAS REILLY
MANAGING MEMBER, CCO
400 CROWN COLONY DRIVE
SUITE 101
QUINCY
MA
United States
Tel:
617-376-4750
Fax:
617-376-4754
T******@*********************M
(Full email address available in API data)
Regulatory Contact
COLLETTE RAJOTTE
OFFICE MANAGER/COMPLIANCE
400 CROWN COLONY DRIVE
SUITE101
QUINCY
MA
United States
Tel:
617-376-4750
Fax:
617-376-4754
C*******@*********************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| FERNWOOD GXT /PRAIN, LLC | Private Equity Fund | $4.5M | $0.1M | 30 |
| PENNMONT FUND, L.P. | Hedge Fund | $19.6M | $0.1M | 64 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| REILLY, THOMAS, PATRICK | Individual | – | MANAGING MEMBER | 02/2003 | > 75% |
| REILLY, THOMAS, PATRICK | Individual | – | CHIEF COMPLIANCE OFFICER | 07/2003 | > 75% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed July 31st, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| ABBVIE INC | COM | 2M | 13K | – |
| ALPHABET INC | CAP STK CL C | 4M | 20K | – |
| AMAZON COM INC | COM | 9M | 45K | – |
| CBOE GLOBAL MKTS INC | COM | 1M | 8K | – |
| CROWDSTRIKE HLDGS INC | CL A | 3M | 7K | – |
| EXCHANGE TRADED CONCEPTS TRU | EMQQ EM INTERN | 1M | 31K | – |
| FIRST TR EXCHANGE-TRADED FD | NO AMER ENERGY | 2M | 61K | – |
| IPG PHOTONICS CORP | COM | 214K | 3K | – |
| KELLANOVA | COM | 876K | 15K | – |
| MARVELL TECHNOLOGY INC | COM | 3M | 50K | – |
| MEDTRONIC PLC | SHS | 1M | 19K | – |
| META PLATFORMS INC | CL A | 11M | 21K | – |
| MONGODB INC | CL A | 5M | 21K | – |
| NVIDIA CORPORATION | COM | 10M | 78K | – |
| PFIZER INC | COM | 312K | 11K | – |
| PHILIP MORRIS INTL INC | COM | 3M | 33K | – |
| PLIANT THERAPEUTICS INC | COM | 5M | 496K | – |
| SAFETY INS GROUP INC | COM | 7M | 90K | – |
| SKYWORKS SOLUTIONS INC | COM | 1M | 10K | – |
| TEXAS PACIFIC LAND CORPORATI | COM | 18M | 25K | – |
| DISNEY WALT CO | COM | 1M | 12K | – |
| UNION PAC CORP | COM | 3M | 14K | – |
| UNITED PARCEL SERVICE INC | CL B | 638K | 5K | – |
| WORKDAY INC | CL A | 392K | 2K | – |
| YUM CHINA HLDGS INC | COM | 807K | 26K | – |
| ISHARES TR | RUS 1000 ETF | 3M | 10K | – |
| ISHARES TR | RUSSELL 2000 ETF | 3M | 14K | – |
| SPDR SER TR | PORTFOLI S&P1500 | 2M | 33K | – |
| ISHARES TR | SELECT DIVID ETF | 2M | 16K | – |
| ISHARES TR | US CONSM STAPLES | 5M | 78K | – |
| SELECT SECTOR SPDR TR | ENERGY | 2M | 21K | – |
| WISDOMTREE TR | EMER MKT HIGH FD | 569K | 13K | – |
| ARES CAPITAL CORP | COM | 5M | 233K | – |
| JOHNSON & JOHNSON | COM | 2M | 14K | – |
| PHILLIPS 66 | COM | 2M | 17K | – |
| VANGUARD WORLD FD | MEGA GRWTH IND | 11M | 34K | – |
| ALPHABET INC | CAP STK CL A | 8M | 44K | – |
| ALTRIA GROUP INC | COM | 3M | 71K | – |
| APPLE INC | COM | 13M | 63K | – |
| HAWAIIAN ELEC INDUSTRIES | COM | 657K | 73K | – |
| ISHARES BITCOIN TR | SHS | 308K | 9K | – |
| JACKSON FINANCIAL INC | COM CL A | 615K | 8K | – |
| HANCOCK JOHN TAX-ADVANTAGED | COM | 703K | 35K | – |
| MCDONALDS CORP | COM | 2M | 7K | – |
| MDU RES GROUP INC | COM | 2M | 70K | – |
| MSCI INC | COM | 5M | 10K | – |
| NEOGENOMICS INC | COM NEW | 1M | 89K | – |
| UBER TECHNOLOGIES INC | COM | 557K | 8K | – |
| DOW INC | COM | 336K | 6K | – |
| DUPONT DE NEMOURS INC | COM | 476K | 6K | – |
| EXXON MOBIL CORP | COM | 3M | 23K | – |
| KENVUE INC | COM | 478K | 26K | – |
| NETFLIX INC | COM | 642K | 952 | – |
| BERKSHIRE HATHAWAY INC DEL | CL B NEW | 2M | 4K | – |
| BRIDGEBIO PHARMA INC | COM | 6M | 256K | – |
| ELI LILLY & CO | COM | 8M | 9K | – |
| FORD MTR CO DEL | COM | 313K | 25K | – |
| GENERAC HLDGS INC | COM | 2M | 19K | – |
| ISHARES TR | CORE S&P500 ETF | 14M | 25K | – |
| ISHARES TR | CORE S&P TTL STK | 361K | 3K | – |
| MICROSOFT CORP | COM | 7M | 15K | – |
| FIRST TR EXCHANGE-TRADED FD | US EQTY OPPT ETF | 2M | 16K | – |
| ADVANCED MICRO DEVICES INC | COM | 370K | 2K | – |
| GOLDMAN SACHS ETF TR | ACTIVEBETA INT | 1M | 44K | – |
| ISHARES TR | CORE DIV GRWTH | 6M | 100K | – |
| ISHARES TR | MSCI USA QLT FCT | 1M | 6K | – |
| SPDR SER TR | PRTFLO S&P500 GW | 3M | 32K | – |
| SPDR SER TR | PRTFLO S&P500 VL | 2M | 36K | – |
| SPDR SER TR | S&P 400 MDCP GRW | 218K | 3K | – |
| ALIBABA GROUP HLDG LTD | SPONSORED ADS | 331K | 5K | – |
| LISTED FD TR | HORIZON KINETICS | 674K | 21K | – |
| VISA INC | COM CL A | 3M | 13K | – |
| ABBOTT LABS | COM | 455K | 4K | – |
| DANAHER CORPORATION | COM | 786K | 3K | – |
| GILEAD SCIENCES INC | COM | 1M | 15K | – |
| J P MORGAN EXCHANGE TRADED F | EQUITY PREMIUM | 625K | 11K | – |
| ONEOK INC NEW | COM | 473K | 6K | – |
| PAYPAL HLDGS INC | COM | 500K | 9K | – |
| ISHARES TR | CORE S&P MCP ETF | 3M | 53K | – |
| ISHARES TR | RUS 1000 GRW ETF | 839K | 2K | – |
| ISHARES TR | RUS 1000 VAL ETF | 484K | 3K | – |
| CENCORA INC | COM | 2M | 10K | – |
| INVESCO QQQ TR | UNIT SER 1 | 341K | 711 | – |
| JPMORGAN CHASE & CO. | COM | 204K | 1K | – |
| PROCTER AND GAMBLE CO | COM | 269K | 2K | – |
| TRANE TECHNOLOGIES PLC | SHS | 576K | 2K | – |
| VANGUARD INDEX FDS | SMALL CP ETF | 256K | 1K | – |
| GOLDMAN SACHS ETF TR | ACTIVEBETA US | 492K | 8K | – |
| SPDR S&P 500 ETF TR | TR UNIT | 2M | 3K | – |
| SELECT SECTOR SPDR TR | SBI HEALTHCARE | 2M | 12K | – |
| HOME DEPOT INC | COM | 818K | 2K | – |
| ISHARES TR | ISHARES SEMICDTR | 227K | 922 | – |
| GOLDMAN SACHS GROUP INC | COM | 334K | 738 | – |
| BIOGEN INC | COM | 668K | 3K | – |
| PALANTIR TECHNOLOGIES INC | CL A | 284K | 11K | – |
| HERSHEY CO | COM | 556K | 3K | – |
| WATERS CORP | COM | 587K | 2K | – |
| YUM BRANDS INC | COM | 1M | 10K | – |
| AXON ENTERPRISE INC | COM | 3M | 11K | – |
| BNY MELLON HIGH YIELD STRATE | SH BEN INT | 40K | 16K | – |
| GLOBAL X FDS | CLOUD COMPUTNG | 1M | 51K | – |
| GOLAR LNG LTD | SHS | 2M | 75K | – |
| SBA COMMUNICATIONS CORP NEW | CL A | 1M | 5K | – |
| VERINT SYS INC | COM | 628K | 20K | – |
| CVS HEALTH CORP | COM | 2M | 35K | – |
| DAYFORCE INC | COM | 1M | 25K | – |
| OREILLY AUTOMOTIVE INC | COM | 2M | 2K | – |
| MCCORMICK & CO INC | COM NON VTG | 662K | 9K | – |
| RTX CORPORATION | COM | 438K | 4K | – |
| UNIVERSAL DISPLAY CORP | COM | 2M | 8K | – |
| WEYERHAEUSER CO MTN BE | COM NEW | 395K | 14K | – |
| CHIPOTLE MEXICAN GRILL INC | COM | 4M | 68K | – |
| INVESCO SR INCOME TR | COM | 66K | 15K | – |
| KNIFE RIVER CORP | COMMON STOCK | 357K | 5K | – |
| TESLA INC | COM | 1M | 7K | – |
| BROADCOM INC | COM | 310K | 193 | – |
| VANGUARD SPECIALIZED FUNDS | DIV APP ETF | 204K | 1K | – |
| SPDR SER TR | PORTFOLIO S&P400 | 730K | 14K | – |
| SPDR SER TR | PORTFOLIO S&P600 | 641K | 15K | – |
| CHEVRON CORP NEW | COM | 225K | 1K | – |
| SL GREEN RLTY CORP | COM | 875K | 15K | – |
| CONOCOPHILLIPS | COM | 2M | 14K | – |
| GENTHERM INC | COM | 347K | 7K | – |
| WILLIAMS COS INC | COM | 807K | 19K | – |
| SPDR GOLD TR | GOLD SHS | 307K | 1K | – |
| BOSTON SCIENTIFIC CORP | COM | 2M | 20K | – |
| METTLER TOLEDO INTERNATIONAL | COM | 365K | 261 | – |
| CATERPILLAR INC | COM | 661K | 2K | – |
| SELECT SECTOR SPDR TR | SBI CONS DISCR | 577K | 3K | – |
| VANGUARD INDEX FDS | VALUE ETF | 227K | 1K | – |
| STARBUCKS CORP | COM | 214K | 3K | – |
| CYTOKINETICS INC | COM NEW | 542K | 10K | – |
| LISTED FD TR | HORIZON KINETICS | 293K | 10K | – |
| ALPS ETF TR | ALERIAN MLP | 286K | 6K | – |
| INVESCO EXCH TRADED FD TR II | SR LN ETF | 629K | 30K | – |
| SPDR SER TR | BLOOMBERG 1-3 MO | 1M | 11K | – |
| ELASTIC N V | ORD SHS | 3M | 26K | – |
| WELLS FARGO CO NEW | PERP PFD CNV A | 558K | 469 | – |
| ISHARES TR | ISHARES BIOTECH | 528K | 4K | – |
| ALIGN TECHNOLOGY INC | COM | 266K | 1K | – |
| JOHN HANCOCK EXCHANGE TRADED | MLTFCTR LRG CAP | 604K | 9K | – |
| SPDR INDEX SHS FDS | PORTFOLIO DEVLPD | 406K | 12K | – |
| OPENLANE INC | COM | 451K | 27K | – |
| ILLUMINA INC | COM | 339K | 3K | – |
| TRIP COM GROUP LTD | ADS | 288K | 6K | – |
| MADISON SQUARE GRDN SPRT COR | CL A | 1M | 7K | – |
| FIRST TR EXCHANGE TRADED FD | CLOUD COMPUTING | 234K | 2K | – |
| CISCO SYS INC | COM | 231K | 5K | – |
| NUCOR CORP | COM | 444K | 3K | – |
| CIVITAS RESOURCES INC | COM NEW | 474K | 7K | – |
| ALPHATEC HLDGS INC | COM NEW | 742K | 71K | – |
| SELECT SECTOR SPDR TR | TECHNOLOGY | 1M | 5K | – |
| APPLIED MATLS INC | COM | 207K | 879 | – |
| UNITEDHEALTH GROUP INC | COM | 559K | 1K | – |
| MADISON SQUARE GARDEN ENTMT | COM CL A | 318K | 9K | – |
| SPHERE ENTERTAINMENT CO | CL A | 396K | 11K | – |
| TRACTOR SUPPLY CO | COM | 423K | 2K | – |
| VONTIER CORPORATION | COM | 291K | 8K | – |
| COGNYTE SOFTWARE LTD | ORD SHS | 134K | 18K | – |
| CONSTELLATION BRANDS INC | CL A | 2M | 9K | – |
| ISHARES TR | RUS MD CP GR ETF | 291K | 3K | – |
| ISHARES TR | S&P 500 GRWT ETF | 812K | 9K | – |
| COLGATE PALMOLIVE CO | COM | 311K | 3K | – |
| LYONDELLBASELL INDUSTRIES N | SHS - A - | 409K | 4K | – |
| COCA COLA CO | COM | 367K | 6K | – |
| HARLEY DAVIDSON INC | COM | 510K | 15K | – |
| CORTEVA INC | COM | 634K | 12K | – |
| ECOLAB INC | COM | 240K | 1K | – |
| HONEYWELL INTL INC | COM | 562K | 3K | – |
| ORACLE CORP | COM | 292K | 2K | – |
| SCOTTS MIRACLE-GRO CO | CL A | 329K | 5K | – |
| ISHARES TR | RUS MID CAP ETF | 237K | 3K | – |
| ZOETIS INC | CL A | 243K | 1K | – |
| ISHARES TR | MSCI USA ESG SLC | 1M | 11K | – |
| WALMART INC | COM | 509K | 8K | – |
| ARCH CAP GROUP LTD | ORD | 202K | 2K | – |
| ISHARES TR | CORE HIGH DV ETF | 294K | 3K | – |
| FIDELITY COVINGTON TRUST | MSCI CONSM DIS | 216K | 3K | – |
| MASTERCARD INCORPORATED | CL A | 476K | 1K | – |
| CONAGRA BRANDS INC | COM | 572K | 20K | – |
| DR REDDYS LABS LTD | ADR | 229K | 3K | – |
| ASANA INC | CL A | 157K | 11K | – |
| ACCENTURE PLC IRELAND | SHS CLASS A | 2M | 6K | – |
| JASPER THERAPEUTICS INC | COM NEW | 1M | 49K | – |
| DOLLAR TREE INC | COM | 314K | 3K | – |
| RELAY THERAPEUTICS INC | COM | 1M | 186K | – |
| CISO GLOBAL INC | COM NEW | 16K | 27K | – |
| ISHARES TR | MSCI INDIA ETF | 319K | 6K | – |
| ARES MANAGEMENT CORPORATION | CL A COM STK | 373K | 3K | – |
| NURIX THERAPEUTICS INC | COM | 202K | 10K | – |
| REVOLUTION MEDICINES INC | COM | 718K | 19K | – |
| MARSH & MCLENNAN COS INC | COM | 291K | 1K | – |
| QURATE RETAIL INC | COM SER A | 13K | 20K | – |
| SPDR SER TR | BLOOMBERG INVT | 987K | 32K | – |
| TRUPANION INC | COM | 441K | 15K | – |
| AMERICAN AIRLS GROUP INC | COM | 569K | 50K | – |
| PIMCO ETF TR | ENHNCD LW DUR AC | 663K | 7K | – |
| NORFOLK SOUTHN CORP | COM | 215K | 1K | – |