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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

PEDDOCK CAPITAL ADVISORS, LLC

CRD 148216

BRAINTREE, MA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:eb743353-07b0-e5e8-5729-e372c5ce0d91

Data as of Jun 1, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:01 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 2
On other graphs: 1
Observed: Mar 28, 2012 to Jun 1, 2026
31 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Family Officesidentity

Peddock Capital Advisors, LLC

Family office · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.92 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $836MItem 5.F on the latest filing (2026-06-01); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $801M
Private client RAUM: $771MderivedItem 5.D individuals plus high net worth individuals
Private client share: 92%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 5
RAUM per advisor: $167Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 6
Advisory employees: 5
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 500
Individual clients: 74
High net worth clients: 99
Custody, client assets: $420M
SEC number: 801-69611
CRD: 148216
Filings on the tape: 31
First filed: Mar 28, 2012
Latest filed: Jun 1, 2026
Organised: Limited Liability Company, MA

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
PETER ERNEST SIMMONS	n/a	BRAINTREE, MA	17	24	1	no
KATELYN MARY MAHON	Certified Financial Planner	Braintree, MA	9	13	1	no
Matthew Ernest Simmons	Certified Financial Planner	Braintree, MA	9	17	n/a	no
Ian Gosselin Browning	Chartered Financial Analyst	Braintree, MA	9	14	n/a	no
JOHN FREDERICK DESIMONE	Certified Financial Planner	BRAINTREE, MA	5	29	5	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
DESIMONE, JOHN, FREDERICK	CHIEF COMPLIANCE OFFICER, PRESIDENT	Na	yes	03/2022	Mar 22, 2022	Sep 13, 2024
Simmons, Matthew, Ernest	CHIEF OPERATIONS OFFICER, WEALTH ADVISOR	A	yes	01/2017	Jan 20, 2017	Sep 13, 2024
SIMMONS, PETER, ERNEST	CHIEF EXECUTIVE OFFICER	E	yes	08/2008	Mar 28, 2012	Sep 13, 2024
Browning, Ian, Gosselin	PARTNER, DIRECTOR OF INVESTMENT STRATEGY	A	no	11/2017	Mar 24, 2018	Sep 13, 2024
SIMMONS, KATELYN, MARY	DIRECTOR OF RELATIONSHIP MANAGEMENT	A	no	01/2021	Mar 22, 2022	Sep 13, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
PEDDOCK TAX SERVICES, LLC	n/a	n/a	n/a	Y	no	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Lynnfield	Ma	United States	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 15 of 16

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Feb 18, 2026	$836M	$801M	6	5	1	n/a	n/a
2024	Feb 13, 2025	$732M	$705M	6	5	1	n/a	n/a
2023	Feb 26, 2024	$614M	$591M	6	5	1	n/a	n/a
2022	Mar 14, 2023	$496M	$480M	7	6	1	n/a	n/a
2021	Mar 22, 2022	$474M	$456M	6	5	1	n/a	n/a
2020	Mar 24, 2021	$405M	$364M	6	5	0	n/a	n/a
2019	Mar 15, 2020	$293M	$271M	5	4	0	n/a	n/a
2018	Mar 11, 2019	$270M	$255M	5	4	0	n/a	n/a
2017	Mar 24, 2018	$279M	$267M	5	4	0	n/a	n/a
2016	Jan 5, 2017	$248M	$245M	5	4	n/a	n/a	n/a
2015	Feb 29, 2016	$200M	$200M	5	4	n/a	n/a	n/a
2014	Feb 24, 2015	$185M	$179M	4	3	n/a	n/a	n/a
2013	Mar 11, 2014	$188M	$188M	3	3	n/a	n/a	n/a
2012	Mar 5, 2013	$193M	$193M	5	3	n/a	n/a	n/a
2011	Mar 28, 2012	$189M	$189M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$836M	$732M	14.3%	$496M	19.1%	6	6	1	1

Relationships

Registered with (5)

← JOHN FREDERICK DESIMONEAdvisorregistration: current employment
Jan 22, 2021 to presentfactForm ADV
← KATELYN MARY MAHONAdvisorregistration: current employment
Sep 21, 2016 to presentfactForm ADV
← Matthew Ernest SimmonsAdvisorregistration: current employment
Sep 21, 2016 to presentfactForm ADV
← Ian Gosselin BrowningAdvisorregistration: current employment
Sep 21, 2016 to presentfactForm ADV
← PETER ERNEST SIMMONSAdvisorregistration: current employment
Oct 28, 2008 to presentfactForm ADV

Controls (3)

← DESIMONE, JOHN, FREDERICKOwnerCHIEF COMPLIANCE OFFICER, PRESIDENT, ownership code NA, individual
Mar 22, 2022 to Sep 13, 2024factForm ADV
← SIMMONS, PETER, ERNESTOwnerCHIEF EXECUTIVE OFFICER, ownership code E, individual
Mar 28, 2012 to Sep 13, 2024factForm ADV
← Simmons, Matthew, ErnestOwnerCHIEF OPERATIONS OFFICER, WEALTH ADVISOR, ownership code A, individual
Jan 20, 2017 to Sep 13, 2024factForm ADV

Owns (2)

← SIMMONS, KATELYN, MARYOwnerDIRECTOR OF RELATIONSHIP MANAGEMENT, ownership code A, individual
Mar 22, 2022 to Sep 13, 2024factForm ADV
← Browning, Ian, GosselinOwnerPARTNER, DIRECTOR OF INVESTMENT STRATEGY, ownership code A, individual
Mar 24, 2018 to Sep 13, 2024factForm ADV

Dated events

Occurred
Mar 22, 2022
Control person joined
Frederick John Desimone (Chief Compliance Officer, President) appeared on Schedule A of Peddock Capital Advisors, Llc
Form ADVobserved 4 days ago
Occurred
Mar 24, 2021
Regulatory AUM changed
Peddock Capital Advisors, Llc reported RAUM $405.4M, up 38% from $293.0M (2020-06-25 to 2021-03-24)
Form ADVobserved 4 days ago
$112M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:eb743353-07b0-e5e8-5729-e372c5ce0d91
First observed: Mar 28, 2012
Last observed: Jun 1, 2026 3 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

PEDDOCK CAPITAL ADVISORS, LLC

CRD 148216

BRAINTREE, MA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:eb743353-07b0-e5e8-5729-e372c5ce0d91

Data as of Jun 1, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:01 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

PETER ERNEST SIMMONS

n/a

BRAINTREE, MA

KATELYN MARY MAHON

Certified Financial Planner

Braintree, MA

Matthew Ernest Simmons

Certified Financial Planner

Braintree, MA

n/a

Ian Gosselin Browning

Chartered Financial Analyst

Braintree, MA

n/a

JOHN FREDERICK DESIMONE

Certified Financial Planner

BRAINTREE, MA

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

DESIMONE, JOHN, FREDERICK

CHIEF COMPLIANCE OFFICER, PRESIDENT

yes

03/2022

Mar 22, 2022

Sep 13, 2024

Simmons, Matthew, Ernest

CHIEF OPERATIONS OFFICER, WEALTH ADVISOR

yes

01/2017

Jan 20, 2017

Sep 13, 2024

SIMMONS, PETER, ERNEST

CHIEF EXECUTIVE OFFICER

yes

08/2008

Mar 28, 2012

Sep 13, 2024

Browning, Ian, Gosselin

PARTNER, DIRECTOR OF INVESTMENT STRATEGY

11/2017

Mar 24, 2018

Sep 13, 2024

SIMMONS, KATELYN, MARY

DIRECTOR OF RELATIONSHIP MANAGEMENT

01/2021

Mar 22, 2022

Sep 13, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

PEDDOCK TAX SERVICES, LLC

n/a

City

State

Country

Employees

Also broker-dealer

Lynnfield

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Feb 18, 2026

$836M

$801M

n/a

2024

Feb 13, 2025

$732M

$705M

n/a

2023

Feb 26, 2024

$614M

$591M

n/a

2022

Mar 14, 2023

$496M

$480M

n/a

2021

Mar 22, 2022

$474M

$456M

n/a

2020

Mar 24, 2021

$405M

$364M

n/a

2019

Mar 15, 2020

$293M

$271M

n/a

2018

Mar 11, 2019

$270M

$255M

n/a

2017

Mar 24, 2018

$279M

$267M

n/a

2016

Jan 5, 2017

$248M

$245M

n/a

2015

Feb 29, 2016

$200M

n/a

2014

Feb 24, 2015

$185M

$179M

n/a

2013

Mar 11, 2014

$188M

n/a

2012

Mar 5, 2013

$193M

n/a

2011

Mar 28, 2012

$189M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$836M

$732M

14.3%

$496M

19.1%