CE
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
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →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
April 2018 - Present · 7 yrs 9 mos
Previous Registrations
Putnam Retail Management Limited PartnershipBroker
September 2008 - July 2024 · 15 yrs 10 mos
Ftn Midwest Securities CORP.Broker
May 2006 - September 2008 · 2 yrs 4 mos
Wachovia Capital Markets, LLCBroker
August 2005 - June 2006 · 10 mos
Susquehanna Financial Group, LllpBroker
January 2005 - August 2005 · 7 mos
State Registrations51 states
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AdvisorBrokerBoth
Exams
No exam information available for this advisor.