CS
Firm Information
Compensation
Fee-Only (AUM)
Number of Advisors
69 advisors
Number of Clients
554 clients
Average Client Portfolio
$153.8M average
Assets Under Management
$85.2B
Fee Structure
This document does not contain a specific fee schedule. It mentions that Items 5 and 7 of the brochure were updated to reflect changes in fee rates and minimums with respect to certain investment strategies. Please refer to those sections for more information.
Areas of Practice
Investment Management
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Advisor Information
Office location
100 Federal St, Boston, MA, 02110
Get directionsRegulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
September 2006Settled
Employment History
Current Registrations
Franklin Distributors, LLC
July 2024 - Present · 1 yr 6 mos
Franklin Distributors, LLCBroker
July 2024 - Present · 1 yr 6 mos
Putnam Investment Management, LLC
May 2023 - Present · 2 yrs 8 mos
Previous Registrations
Putnam Retail Management Limited PartnershipBroker
May 2023 - July 2024 · 1 yr 2 mos
Morgan Stanley
April 2023 - May 2023 · 1 mo
Morgan Stanley Broker
June 2021 - May 2023 · 1 yr 11 mos
Ivy Distributors, INC.Broker
May 2007 - April 2021 · 13 yrs 11 mos
Waddell & ReedBroker
May 2007 - April 2021 · 13 yrs 11 mos
Ohio Savings Securities, INC.Broker
May 2002 - July 2006 · 4 yrs 2 mos
The Huntington Investment Company Broker
February 2002 - March 2002 · 1 mo
State Registrations7 states
CACTFLMANYORWA
AdvisorBrokerBoth
Exams
No exam information available for this advisor.