Moors & Cabot, Inc

Broker-DealerFINRA Member
Total AUM
$4B
Discretionary
$3.8B
94% of AUM
Accounts
5,596
Employees
121
Advisory reps
124
Brokerage reps
121

Firm details

Headquarters
Boston, Massachusetts
CRD number
594
Registered since
March 30, 1995
Website
www.moorscabot.com
Fee structure
Percentage of AUM, Hourly Charges, Fixed Fees, Commissions
Client types
  • HNWI66.72%
  • Individuals25.37%
  • Charitable Organizations6.51%
  • Pension & Profit Sharing Plans0.94%
  • Corporations / Businesses0.47%
Services
Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional ClientsPension ConsultingSelection of Other Advisers

Firm profile

FINTRX

Overview

Moors & Cabot, Inc. is an independent broker-dealer that also operates as an insurance broker and a registered municipal advisor. The firm is SEC-registered (registered in 1995) and identifies as a capital allocator that serves both individual & family clients and institutional clients. Its advisory capabilities include financial planning, portfolio management for individuals/small businesses and for businesses/institutions, pension consulting, and the selection of other advisers. The firm uses a mix of fee arrangements—percentage of AUM, hourly charges, fixed fees—and also generates commission business. Moors & Cabot lists itself as an active ESG investor, which indicates ESG considerations are incorporated into its investment approach.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

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Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Exchange Traded Equities 64%, Public Funds/Mutual Funds 11%, US Government Bonds 7%, State & Local Bonds 6%, Cash & Cash Equivalents 6%, Investment Grade Corp Bonds 5%, Other 1%64%
  • Exchange Traded Equities64%
  • Public Funds/Mutual Funds11%
  • US Government Bonds7%
  • State & Local Bonds6%
  • Cash & Cash Equivalents6%

Owners & executives

3 of 4
  • Jamie Frazier

    Jamie Frazier

    Chief Growth OfficerCRD 3272662

  • Katherine Kelliher

    Katherine Kelliher

    Chief Compliance OfficerCRD 4146307

  • Michael Hildreth

    Michael Hildreth

    President, CFOCRD 2386839

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Contacts

3 of 120
  • Yvonne Shanklin

    Yvonne Shanklin

    Financial AdvisorCRD 5672177

  • David Robbins

    David Robbins

    Vice PresidentCRD 5673670

  • Scot Wilks

    Scot Wilks

    Financial AdvisorCRD 5173594

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Wealth teams

FINTRX

Newly hired reps

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Recent M&A activity

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Recent filings

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Awards

FINTRX

ETF holdings

1 of 375

Active vs passive

$538M in ETFs

Passive

84%

$451M

Active

12%

$86.6M

ETFProviderStyleCategoryValueShares% of portfolio
SPDR S&P 500 ETF TRUST (SPY)State StreetPassiveLarge Blend$21.3M28,4903.96%
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Location

Primary office

Boston, MA

Suffolk

Location

Boston, MA

Headquartered in Boston, MA, anchoring the Boston-Worcester-Providence, MA-RI-NH-CT metro in the Northeast.

Metro area
Boston-Worcester-Providence, MA-RI-NH-CT
Region
Northeast
County
Suffolk
Address
1 Federal St
Time zone
ET (UTC-5)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth