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CRD 106223
LYNNFIELD, MA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| CHRISTIAN DAVID MCVEY | n/a | Lynnfield, MA | 23 | 30 | 1 | no |
| STEVEN NATHANIEL VIOLIN | Chartered Financial Analyst | Needham, MA | 23 | 26 | 1 | no |
| ROBERTSON POPE BREED | Chartered Financial Analyst | PORTLAND, ME | 22 | 37 | 1 | no |
| ANDREW BO WETZEL | Chartered Financial Analyst | Needham, MA | 18 | 23 | n/a | no |
| SCOTT NELSON MAZUZAN | Certified Financial Planner | PORTLAND, ME | 11 | 15 | 1 | no |
| REED THOMAS MANNING | Chartered Financial Analyst | LYNNFIELD, MA | 10 | 23 | 4 | no |
| GLEN PATRICK MARTIN | Certified Financial Planner | Providence, RI | 10 | 23 | 4 | no |
| ELLEN KATHERINE HAZEN | Chartered Financial Analyst | Needham, MA | 9 | 13 | n/a | no |
| LAURIE ANNE FAILLE | Certified Financial Planner | Needham, MA | 7 | 15 | 1 | no |
| ROGER N. BEGIN | Certified Financial Planner | Providence, RI | 7 | 31 | 1 | no |
| KATHARINE CELESTE MANNING | n/a | Boston, MA | 7 | 29 | n/a | no |
| THOMAS PATRICK FAY | Chartered Financial Analyst | Providence, RI | 7 | 30 | 1 | no |
| KRISTEN ANN MADDEN | n/a | WOLFEBORO, NH | 7 | 39 | 1 | no |
| SUSAN MACMICHAEL JOHN | Certified Financial Planner | WOLFEBORO, NH | 7 | 38 | 1 | no |
| THOMAS GEORGE GOODWIN | Certified Financial Planner | WOLFEBORO, NH | 7 | 27 | 3 | no |
| DAOSITH SAMUEL LEMAY | Certified Financial Planner | Portsmouth, NH | 7 | 21 | 2 | no |
| VALERIE JEAN BROWN | n/a | WOLFEBORO, NH | 7 | 24 | 1 | no |
| LANDON JOE FRITCH | Certified Financial Planner | WOLFEBORO, NH | 7 | 10 | 1 | no |
| MARIANNE PURSLEY | Certified Financial Planner | Providence, RI | 7 | 26 | n/a | no |
| JESSIE LYN BUTLER | Certified Financial Planner | Portland, ME | 7 | 22 | n/a | no |
| TODD CHRISTOPHER MILLS | Certified Financial Planner | LYNNFIELD, MA | 6 | 30 | 5 | no |
| WILLIAM MICHAEL O'BRIEN | n/a | Needham, MA | 5 | 40 | 1 | no |
| COREY BRIAN POMERLEAU | Certified Financial Planner | Needham, MA | 5 | 10 | n/a | no |
| RYAN BERNARD MCQUILKIN | Certified Financial Planner|Chartered Financial Analyst | Lynnfield, MA | 5 | 11 | 1 | no |
| James Balfour | Certified Financial Planner|Chartered Financial Analyst | Wolfeboro, NH | 4 | 26 | 1 | no |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| FLAHERTY, ELLEN | DIRECTOR, CLERK, SR. VP, COO | Na | yes | 12/2001 | Aug 19, 2026 | Aug 19, 2026 |
| MANNING, REED, THOMAS | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | B | yes | 12/2015 | Aug 19, 2026 | Aug 19, 2026 |
| MARKS, KEITH, STANLEY | CHIEF COMPLIANCE OFFICER | Na | yes | 10/2025 | Aug 19, 2026 | Aug 19, 2026 |
| TIMMERMANS, MICHAEL, | CHIEF LEGAL OFFICER | Na | yes | 10/2021 | Aug 19, 2026 | Aug 19, 2026 |
| F.L. PUTNAM SECURITIES COMPANY INCORPORATED | Stockholder | E | yes | 06/1984 | Mar 28, 2012 | Nov 20, 2024 |
| BARNEY, MARGARET, G.P. | TRUSTEE OF MARGARET WILSON PUTNAM TRUST (TAX | Na | no | 06/2026 | Aug 19, 2026 | Aug 19, 2026 |
| ESTATE OF DAVID PUTNAM | Shareholder | A | no | 06/2026 | Aug 19, 2026 | Aug 19, 2026 |
| GOSULE, ALAN, LEE | Director | Na | no | 01/2008 | Aug 19, 2026 | Aug 19, 2026 |
| LEPPER, MEREDITH | Director | Na | no | 01/2008 | Aug 19, 2026 | Aug 19, 2026 |
| MARGARET WILSON PUTNAM | Shareholder | A | no | 06/2026 | Aug 19, 2026 | Aug 19, 2026 |
| MCB FENWAY LLC | Shareholder | B | no | 07/2026 | Aug 19, 2026 | Aug 19, 2026 |
| OSTERBERG, RICHARD | DIRECTOR, TRUSTEE OF MARGARET WILSON PUTNAM EXECUTOR ESTATE OF DAVID PUTNAM | Na | no | 01/2008 | Aug 19, 2026 | Aug 19, 2026 |
| PUTNAM, JOHN, STEPHEN | TRUSTEE OF MARGARET WILSON PUTNAM TRUSTS (TAX | Na | no | 06/2026 | Aug 19, 2026 | Aug 19, 2026 |
| PUTNAM, YVETTE | EXECUTOR OF ESTATE OF DAVID PUTNAM, TRUSTEE OF MARGARET WILSON PUTNAM TRUST (TAX ID NUMBER | Na | no | 06/2026 | Aug 19, 2026 | Aug 19, 2026 |
| STAUFFER, SUSANNE | Director | Na | no | 10/2014 | Aug 19, 2026 | Aug 19, 2026 |
| STEWART, CONNOR, RAMSAY | Director | Na | no | 08/2026 | Aug 19, 2026 | Aug 19, 2026 |
| Valdez, Russell, James | Director | Na | no | 08/2026 | Aug 19, 2026 | Aug 19, 2026 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Needham | Ma | United States | 15 | no |
| Boston | Ma | United States | 10 | no |
| NEW YORK | NY | United States | 8 | no |
| Portland | Me | United States | 7 | no |
| Wolfeboro | Nh | United States | 6 | no |
| Providence | Ri | United States | 6 | no |
| Amherst | NY | United States | 4 | no |
| Mashpee | Ma | United States | 1 | no |
| NEW YORK | NY | United States | 1 | no |
| NORTH CHARLESTON | Sc | United States | 1 | no |
| n/a | n/a | n/a | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Apr 10, 2026 | $9.7B | $9.6B | 160 | 90 | 12 | n/a | n/a |
| 2024 | Mar 31, 2025 | $7.7B | $7.6B | 134 | 73 | 11 | n/a | n/a |
| 2023 | Mar 28, 2024 | $6.2B | $6.1B | 105 | 60 | 10 | n/a | n/a |
| 2022 | Mar 30, 2023 | $4.3B | $4.2B | 84 | 37 | 8 | n/a | n/a |
| 2021 | Mar 30, 2022 | $4.5B | $4.5B | 63 | 43 | 8 | n/a | n/a |
| 2020 | Mar 29, 2021 | $3.7B | $3.7B | 53 | 28 | 4 | n/a | n/a |
| 2019 | Feb 26, 2020 | $2.8B | $2.8B | 47 | 20 | 4 | n/a | n/a |
| 2018 | Mar 28, 2019 | $1.9B | $1.9B | 35 | 15 | 4 | n/a | n/a |
| 2017 | Mar 19, 2018 | $1.8B | $1.8B | 29 | 10 | 3 | n/a | n/a |
| 2016 | Mar 16, 2017 | $1.5B | $1.5B | 27 | 7 | n/a | n/a | n/a |
| 2015 | Mar 24, 2016 | $1.4B | $1.4B | 21 | 6 | n/a | n/a | n/a |
| 2014 | Mar 25, 2015 | $1.4B | $1.4B | 22 | 7 | n/a | n/a | n/a |
| 2013 | Feb 26, 2014 | $1.3B | $1.3B | 20 | 7 | n/a | n/a | n/a |
| 2012 | Mar 27, 2013 | $1.1B | $1.1B | 19 | 6 | n/a | n/a | n/a |
| 2011 | Mar 28, 2012 | $1.0B | $1.0B | n/a | n/a | n/a | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 18 | 1 | 17 | 1.3% | 9 | 0 | 0 | 41 | 1 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $9.7B | $7.7B | 26.2% | $4.3B | 31.2% | 160 | 134 | 14 | 11 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| F/M INVESTMENTS LLC | 2 | Sep 2, 2026 | Sep 1, 2026 | MILWAUKEE, WI | Team lift out | Other | 10.0% |
| SEASCAPE CAPITAL MANAGEMENT,LLC | 4 | Aug 28, 2026 | Aug 12, 2026 | PORTSMOUTH, NH | Firm absorbed | RIA to RIA | 100.0% |
| ARCADIA INVESTMENT MANAGEMENT CORP | 3 | May 21, 2026 | Apr 1, 2026 | KALAMAZOO, MI | Firm absorbed | RIA to RIA | 100.0% |
| AOG WEALTH MANAGEMENT | 5 | Mar 7, 2025 | Mar 26, 2025 | RESTON, VA | Firm absorbed | RIA to RIA | 71.4% |
| ARBOR CAPITAL MANAGEMENT CORP | 4 | Dec 6, 2024 | Dec 2, 2024 | AMHERST, NY | Firm absorbed | RIA to RIA | 80.0% |
| SVB WEALTH | 2 | May 19, 2023 | Jun 7, 2023 | BOSTON, MA | Team lift out | Ibd to RIA | 2.2% |
| FINANCIAL FOCUS, INC. | 6 | Jul 16, 2019 | Apr 5, 2019 | WOLFEBORO, NH | Firm absorbed | RIA to RIA | 100.0% |