AUM
Employee Count
Main Office
| Discretion | AUM |
|---|---|
| Discretionary | $5.0 |
| Non-Discretionary | $0.5 |
| Total | $5.5 |
| Client | AUM |
|---|---|
| Retail | $3.9 |
| Pooled | $0.7 |
| Institutional | $0.9 |
| Total | $5.5 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 0 | $0.0 |
| Average Individual AUM | $0 | |
| HNW | 53 | $3.9 |
| Average HNW AUM | $73,087,383 | |
| Retail Total | 53 | $3.9 |
| Average Retail AUM | $73,087,383 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
| Custodian | Location | AUM |
|---|---|---|
| NATIONAL FINANCIAL SERVICES LLC | BOSTON-MA-USA | $2.8 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $4.8 |
| Retail SMA AUM | $3.9 |
| Institutional SMA AUM | $0.9 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 27% | $1.3 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 6% | $0.3 |
| Municipal | 7% | $0.3 |
| Sovereign | 0% | $0.0 |
| IG Credit | 1% | $0.0 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 36% | $1.7 |
| Other Pools | 20% | $1.0 |
| Cash | 3% | $0.1 |
| Other | 0% | $0.0 |
| Total | 100% | $4.8 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| FRANKLIN ADVISERS, INC. | $339.2 | 104517 | |
| PUTNAM INVESTMENT MANAGEMENT, LLC | $97.9 | 106629 | |
| CLARION PARTNERS, LLC | $79.3 | broker-dealer | 108803 |
| LEXINGTON PARTNERS L.P. | $71.9 | 147281 | |
| BENEFIT STREET PARTNERS L.L.C. | $28.3 | 158672 | |
| K2/D&S MANAGEMENT CO., L.L.C. | $9.5 | 123826 | |
| O'SHAUGHNESSY ASSET MANAGEMENT, LLC | $8.0 | 144594 | |
| FIDUCIARY TRUST INTERNATIONAL OF DELAWARE | $0.0 | trust company | - |
| FIDUCIARY TRUST COMPANY INTERNATIONAL | $0.0 | trust company | - |
| FIDUCIARY TRUST INTERNATIONAL PRIVATE EQUITY ACCESS PROGRAM GP LLC | $0.0 | - | |
| FIDUCIARY TRUST INTERNATIONAL OF THE SOUTH | $0.0 | trust company | - |
| FIDUCIARY TRUST INTERNATIONAL OF CALIFORNIA | $0.0 | trust company | - |
| FIDUCIARY TRUST COMPANY OF CANADA | $0.0 | trust company | - |
| FRANKLIN DISTRIBUTORS, LLC | $0.0 | broker-dealer | 109064 |
| FIDUCIARY TRUST COMPANY INTERNATIONAL OF PENNSYLVANIA | $0.0 | trust company | - |
| ATHENA ALPHA INVESTORS GP LLC | $0.0 | - | |
| ATHENA CATHOLIC VALUES GP LLC | $0.0 | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
14 active representatives found
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| ANNA KASTRILEVICH | LINCOLN | MA | S65|2019-12-23 | ||||||
| KATHERINE BURKE | LINCOLN | MA | S63|2021-11-06 | CHARTERED FINANCIAL ANALYST | |||||
| KATHARINE HUNTINGTON | LINCOLN | MA | S65|2009-05-08 | ||||||
| DOUGLAS COHEN | LINCOLN | MA | S65|2017-08-30|S63|2021-10-22 | ||||||
| ROHAN SHROFF | LINCOLN | MA | S65|2017-10-03 | ||||||
| MATTHEW KATZ | LINCOLN | MA | CHARTERED FINANCIAL ANALYST | ||||||
| JOHN RAUS | LINCOLN | MA | CHARTERED FINANCIAL ANALYST | ||||||
| ALEX CHOWN | LINCOLN | MA | CHARTERED FINANCIAL ANALYST | ||||||
| ALEX PAUL | LINCOLN | MA | S66|2007-02-16|S63|2021-10-20 | CHARTERED FINANCIAL ANALYST | |||||
| BRANDON JOHNSON | LINCOLN | MA | S65|2019-11-19 | ||||||
| ERICK RAWLINGS | LINCOLN | MA | S65|2012-01-04 | ||||||
| TYLER RODDAY | LINCOLN | MA | S65|2009-05-08 | ||||||
| ADAM SOULIERE | LINCOLN | MA | S63|2022-02-07 | ||||||
| JEFFREY FINKELMAN | LINCOLN | MA | CHARTERED FINANCIAL ANALYST | ||||||
ADVDB.CO • SOURCE: SEC
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2024-10-01 | $5.5 | $0.0 | 0% | 46 | 0 | 0% |
| 2024-04-02 | $5.5 | $0.0 | 0% | 46 | 0 | 0% |
| 2023-04-04 | $5.2 | $0.2 | 5% | 48 | -2 | -4% |
| 2022-04-01 | $5.8 | -$0.4 | -6% | 40 | 6 | 15% |
| 2021-04-05 | $6.5 | -$1.1 | -16% | 43 | 3 | 7% |
| 2020-04-01 | $5.8 | -$0.4 | -6% | 50 | -4 | -8% |
| 2019-04-01 | $5.8 | -$0.4 | -6% | 44 | 2 | 5% |
| 2018-04-02 | $5.5 | $0.0 | 0% | 51 | -5 | -10% |
| 2017-04-01 | $5.5 | $0.0 | -1% | 55 | -9 | -16% |
| 2016-04-01 | $6.0 | -$0.5 | -9% | 47 | -1 | -2% |
| 2015-04-01 | $5.9 | -$0.5 | -8% | 47 | -1 | -2% |
| 2014-04-01 | $5.1 | $0.4 | 7% | 53 | -7 | -13% |
| 2013-04-01 | $4.3 | $1.2 | 27% | 43 | 3 | 7% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
| STATE REGISTRATIONS |
| MA, CA-03/30/2022, FL-03/31/2021, MA-04/17/2003, NY-04/24/2013 |
| ADVISER ACTIVITIES |
|
FINANCIAL PLANNING PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (POOLS) PORTFOLIO MANAGEMENT (SMB) MANAGER SELECTION |
| OTHER ACTIVITIES |
|
COMMODITY TRADING ADVISOR |
ADVDB.CO • SOURCE: SEC FORM ADV