AUM
Employee Count
Main Office
| Discretion | AUM |
|---|---|
| Discretionary | $5.8 |
| Non-Discretionary | $0.5 |
| Total | $6.3 |
| Client | AUM |
|---|---|
| Retail | $4.7 |
| Pooled | $0.7 |
| Institutional | $0.9 |
| Total | $6.3 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 0 | $0.0 |
| Average Individual AUM | $0 | |
| HNW | 59 | $4.7 |
| Average HNW AUM | $79,729,828 | |
| Retail Total | 59 | $4.7 |
| Average Retail AUM | $79,729,828 |
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 | $5.7 |
| Retail SMA AUM | $4.7 |
| Institutional SMA AUM | $0.9 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 32% | $1.8 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 7% | $0.4 |
| Municipal | 6% | $0.3 |
| Sovereign | 0% | $0.0 |
| IG Credit | 2% | $0.1 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 32% | $1.8 |
| Other Pools | 17% | $1.0 |
| Cash | 3% | $0.2 |
| Other | 0% | $0.0 |
| Total | 99% | $5.6 |
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. | $467.0 | 104517 | |
| PUTNAM INVESTMENT MANAGEMENT, LLC | $85.2 | 106629 | |
| CLARION PARTNERS, LLC | $73.4 | broker-dealer | 108803 |
| LEXINGTON PARTNERS L.P. | $73.3 | 147281 | |
| BENEFIT STREET PARTNERS L.L.C. | $27.9 | 158672 | |
| O'SHAUGHNESSY ASSET MANAGEMENT, LLC | $12.6 | 144594 | |
| K2/D&S MANAGEMENT CO., L.L.C. | $9.4 | 123826 | |
| 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 DELAWARE | $0.0 | trust company | - |
| FIDUCIARY TRUST COMPANY OF CANADA | $0.0 | trust company | - |
| FIDUCIARY TRUST INTERNATIONAL OF CALIFORNIA | $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 | |||||
|---|---|---|---|---|---|---|---|---|---|
| JEFFREY FINKELMAN | LINCOLN | MA | CHARTERED FINANCIAL ANALYST | ||||||
| DOUGLAS COHEN | LINCOLN | MA | S65|2017-08-30|S63|2021-10-22 | ||||||
| ADAM SOULIERE | LINCOLN | MA | S63|2022-02-07 | ||||||
| ALEX CHOWN | LINCOLN | MA | CHARTERED FINANCIAL ANALYST | ||||||
| ROHAN SHROFF | LINCOLN | MA | S65|2017-10-03 | ||||||
| ANNA KASTRILEVICH | LINCOLN | MA | S65|2019-12-23 | ||||||
| KATHERINE BURKE | LINCOLN | MA | S63|2021-11-06 | CHARTERED FINANCIAL ANALYST | |||||
| JOHN RAUS | LINCOLN | MA | CHARTERED FINANCIAL ANALYST | ||||||
| ERICK RAWLINGS | LINCOLN | MA | S65|2012-01-04 | ||||||
| MATTHEW KATZ | LINCOLN | MA | CHARTERED FINANCIAL ANALYST | ||||||
| TYLER RODDAY | LINCOLN | MA | S65|2009-05-08 | ||||||
| BRANDON JOHNSON | LINCOLN | MA | S65|2019-11-19 | ||||||
| KATHARINE HUNTINGTON | LINCOLN | MA | S65|2009-05-08 | ||||||
| ALEX PAUL | LINCOLN | MA | S66|2007-02-16|S63|2021-10-20 | CHARTERED FINANCIAL ANALYST | |||||
ADVDB.CO • SOURCE: SEC
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-08-01 | $6.3 | $0.0 | 0% | 50 | 0 | 0% |
| 2025-04-21 | $6.3 | $0.0 | 0% | 50 | 0 | 0% |
| 2024-04-02 | $5.5 | $0.9 | 16% | 46 | 4 | 9% |
| 2023-04-04 | $5.2 | $1.1 | 21% | 48 | 2 | 4% |
| 2022-04-01 | $5.8 | $0.5 | 8% | 40 | 10 | 25% |
| 2021-04-05 | $6.5 | -$0.2 | -3% | 43 | 7 | 16% |
| 2020-04-01 | $5.8 | $0.5 | 9% | 50 | 0 | 0% |
| 2019-04-01 | $5.8 | $0.5 | 9% | 44 | 6 | 14% |
| 2018-04-02 | $5.5 | $0.9 | 16% | 51 | -1 | -2% |
| 2017-04-01 | $5.5 | $0.8 | 15% | 55 | -5 | -9% |
| 2016-04-01 | $6.0 | $0.3 | 5% | 47 | 3 | 6% |
| 2015-04-01 | $5.9 | $0.4 | 6% | 47 | 3 | 6% |
| 2014-04-01 | $5.1 | $1.2 | 24% | 53 | -3 | -6% |
| 2013-04-01 | $4.3 | $2.0 | 48% | 43 | 7 | 16% |
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