Colrain Capital Llc
- Regulatory AUM
- $222M
- Discretionary
- $222M
- Clients
- 87
- Avg AUM / client
- $2.6M
- Accounts
- 87
- Employees
- 4
AUM over time
Annual snapshots from Form ADV filings · as of Mar 31, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 75 | $83.8M | 37.7% |
| High net worth individuals | 12 | $138M | 62.3% |
People (4)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Barton, William, Rogers | Managing Director | Feb 2017 (10y) | 10% – 25% | |
| Blum, Peter, R | Managing Director | Feb 2017 (10y) | 10% – 25% | |
| Quinlisk, Timothy, E | Managing Director | Feb 2017 (10y) | 10% – 25% | |
| Rosa, Tara, Janell | Cco | Jul 2018 (8y) | 10% – 25% |
Undisclosed: 0% – 60% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/31/2026 | 1.11 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: THE MASSACHUSETTS SECURITIES DIVISION FOUND THAT COLRAIN FAILED TO MAINTAIN ITS NOTICE FILING AS AN INVESTMENT ADVISER IN MASSACHUSETTS IN VIOLATION OF MASS. GEN. LAWS C. 110A AND THE CORRESPONDING REGULATIONS PROMULGATED THEREUNDER. Status: Final Sanction Detail: ADMINISTRATIVE FINE OF $40,000 PAYABLE TO THE COMMONWEALTH OF MASSACHUSETTS. Summary: COLRAIN AND MASSACHUSETTS ENTERED INTO A CONSENT ORDER WHEREBY OF SETTLEMENT IN WHICH THE COLRAIN WILL IMPLEMENT WRITTEN SUPERVISORY POLICIES AND PROCEDURES, MAINTAIN ITS NOTICE FILING IN MASSACHUSETTS PRIOR TO PROVIDING INVESTMENT ADVISORY SERVICES, AND PAY AN ADMINISTRATIVE FINE OF $40,000 TO THE COMMONWEALTH OF MASSACHUSETTS.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- Pershing $78.0M (35% of AUM) Mar 2026
- Charles Schwab & Co. $63.2M (28% of AUM) Mar 2026
- BNY Mellon $29.1M (13% of AUM) Mar 2026
- Stifel, Nicolaus & Company, Incorporated $28.3M (29% of AUM) Mar 2023
- Fnz Trust Company $17.0M (13% of AUM) Apr 2025
- J.P. Morgan $16.6M (13% of AUM) Apr 2025
- State Street $13.7M (14% of AUM) Mar 2023
- Hsbc Brokerage (Usa) Inc. $2.1M (2% of AUM) Mar 2023
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 31, 2026.
View current Form ADV (SEC/IAPD) ↗