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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

SIGNATOR FINANCIAL SERVICES, INC.

CRD 19061

BOSTON, 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:fccb6583-cadf-e365-5891-341d46e51e0a

Data as of Dec 17, 2015 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:00 AM UTC and rebuilt at most every 15 minutes.

Relationships: 160
Dated events: 0
On other graphs: 0
Observed: Mar 22, 2012 to Dec 17, 2015
24 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

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

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $409MItem 5.F on the latest filing (2015-12-17); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $118M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 73
Advisory employees: 69
Accounts: 1,166
SEC number: 801-66750
CRD: 19061
Filings on the tape: 24
First filed: Mar 22, 2012
Latest filed: Dec 17, 2015
Organised: Corporation, Washington

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
ABERIZK, EMIL JOSEPH JR	Director	Na	yes	10/2013	Oct 2, 2013	Dec 17, 2015
ARMSTRONG, ABIGAIL MARIE	SECRETARY/CLERK & COUNSEL	Na	yes	10/2013	Oct 2, 2013	Dec 17, 2015
CLARK, JEFFREY STEPHEN	VICE PRESIDENT, DIRECTOR OF FINANCE, FINANCIAL PRINCIPAL	Na	yes	03/2012	Mar 22, 2012	Dec 17, 2015
HEAPPS, BRIAN BASIL	Director	Na	yes	10/2013	Oct 2, 2013	Dec 17, 2015
HORACK, THOMAS JOSEPH	CHIEF COMPLIANCE OFFICER	Na	yes	10/2014	Oct 2, 2013	Dec 17, 2015
JOHN HANCOCK FINANCIAL CORPORATION	Sh	E	yes	12/2009	Oct 2, 2013	Dec 17, 2015
JOHN HANCOCK FINANCIAL NETWORK, INC.	PARENT COMPANY	E	yes	10/2013	Oct 2, 2013	Dec 17, 2015
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.)	Sh	E	yes	12/2009	Oct 2, 2013	Dec 17, 2015
JOHN HANCOCK SUBSIDIARIES LLC	Sh	E	yes	01/1999	Oct 2, 2013	Dec 17, 2015
K VD HAGEN, HALINA	Director	Na	yes	10/2015	Dec 17, 2015	Dec 17, 2015
KARMAN, MITCHELL ANDREW	Director	Na	yes	10/2013	Oct 2, 2013	Dec 17, 2015
MANUFACTURERS LIFE INSURANCE COMPANY	Sh	E	yes	12/2009	Oct 2, 2013	Dec 17, 2015
MANULIFE FINANCIAL CORPORATION	Sh	E	yes	10/2004	Oct 2, 2013	Dec 17, 2015
MANULIFE HOLDINGS (ALBERTA) LIMITED	Sh	E	yes	12/2009	Oct 2, 2013	Dec 17, 2015
MARYANOPOLIS, CHRISTOPHER	President	Na	yes	10/2014	Oct 2, 2013	Dec 17, 2015
REBMAN, JILL DENISE	Director	Na	yes	04/2015	Aug 25, 2015	Dec 17, 2015
RIGATTI, MATTHEW FORREST	Director	Na	yes	10/2013	Oct 2, 2013	Dec 17, 2015
RISPOLI, FRANK JOSEPH	Director	Na	yes	10/2013	Oct 2, 2013	Dec 17, 2015
SUMINSKI, JOHN WILLIAM	Director	Na	yes	10/2013	Oct 2, 2013	Dec 17, 2015
TETA, ANTHONY MAURICE	Director	Na	yes	10/2013	Oct 2, 2013	Dec 17, 2015
THE MANUFACTURERS INVESTMENT CORPORATION	Sh	E	yes	12/2009	Oct 2, 2013	Dec 17, 2015

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
MANULIFE ASSET MANAGEMENT (US) LLC	n/a	Asset manager	$228B	N	yes	n/a
SIGNATOR INVESTORS, INC.	n/a	Former SEC adviser	$6.6B	N	yes	n/a
DECLARATION MANAGEMENT & RESEARCH LLC	n/a	Former SEC adviser	$4.7B	N	yes	n/a
HANCOCK VENTURE PARTNERS, INC.	n/a	Former SEC adviser	$5.1M	N	yes	n/a
AZ/JH GP (DC) LLC	n/a	n/a	n/a	N	yes	n/a
AZ/JH GP (IL) LLC	n/a	n/a	n/a	N	yes	n/a
HANCOCK CAPITAL INVESTMENT MANAGEMENT LLC	n/a	n/a	n/a	N	yes	n/a
JOHN HANCOCK DISTRIBUTORS LLC	n/a	n/a	n/a	N	yes	n/a
JOHN HANCOCK FUNDS, LLC	n/a	n/a	n/a	N	yes	n/a
MANULIFE ASSET MANAGEMENT TRUST COMPANY LLC	n/a	n/a	n/a	N	yes	n/a

Offices

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

City	State	Country	Employees	Also broker-dealer
E. TALLAHASSEE	FL	United States	n/a	no
Missoula	Mt	United States	n/a	no
Missoula	Mt	United States	n/a	no
LAS VEGAS	Nv	United States	n/a	no
Seattle	Wa	United States	n/a	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

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2014	Mar 30, 2015	$409M	$118M	73	69	n/a	n/a	n/a
2013	Mar 27, 2014	$378M	$157M	106	98	n/a	n/a	n/a
2012	Mar 20, 2013	$335M	$197M	116	95	n/a	n/a	n/a
2011	Mar 22, 2012	$168M	$27.8M	n/a	n/a	n/a	n/a	n/a

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
2014	$409M	$378M	8.4%	$168M	34.6%	73	106	n/a	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
OSAIC WEALTH, INC.	2	Dec 28, 2015	Feb 6, 2026	BOSTON, MA	Team lift out	Other	6.5%
KMS FINANCIAL SERVICES, INC	2	Sep 1, 2015	Oct 1, 2015	SPRING HILL, FL	Team lift out	Other	5.9%
INVESTMENT CENTERS OF AMERICA, INC.	2	Apr 30, 2015	Apr 30, 2015	MANHATTAN, MT	Team lift out	Other	5.6%

Relationships

showing 80 of 160

Affiliated with (4)

→ DECLARATION MANAGEMENT & RESEARCH LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ MANULIFE INVESTMENT MANAGEMENT (US) LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ HANCOCK VENTURE PARTNERS, INC.Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ SIGNATOR INVESTORS, INC.Registered adviserother investment adviser, broker-dealer, common control
factForm ADV

Controls (21)

← ABERIZK, EMIL JOSEPH JROwnerDIRECTOR, ownership code NA, individual
Oct 2, 2013 to presentfactForm ADV
← ARMSTRONG, ABIGAIL MARIEOwnerSECRETARY/CLERK & COUNSEL, ownership code NA, individual
Oct 2, 2013 to presentfactForm ADV
← HEAPPS, BRIAN BASILOwnerDIRECTOR, ownership code NA, individual
Oct 2, 2013 to presentfactForm ADV
← RIGATTI, MATTHEW FORRESTOwnerDIRECTOR, ownership code NA, individual
Oct 2, 2013 to presentfactForm ADV
← KARMAN, MITCHELL ANDREWOwnerDIRECTOR, ownership code NA, individual
Oct 2, 2013 to presentfactForm ADV
← MARYANOPOLIS, CHRISTOPHEROwnerPRESIDENT, ownership code NA, individual
Oct 2, 2013 to presentfactForm ADV
← RISPOLI, FRANK JOSEPHOwnerDIRECTOR, ownership code NA, individual
Oct 2, 2013 to presentfactForm ADV
← TETA, ANTHONY MAURICEOwnerDIRECTOR, ownership code NA, individual
Oct 2, 2013 to presentfactForm ADV
← CLARK, JEFFREY STEPHENOwnerVICE PRESIDENT, DIRECTOR OF FINANCE, FINANCIAL PRINCIPAL, ownership code NA, individual
Mar 22, 2012 to presentfactForm ADV
← SUMINSKI, JOHN WILLIAMOwnerDIRECTOR, ownership code NA, individual
Oct 2, 2013 to presentfactForm ADV
← REBMAN, JILL DENISEOwnerDIRECTOR, ownership code NA, individual
Aug 25, 2015 to presentfactForm ADV
← K VD HAGEN, HALINAOwnerDIRECTOR, ownership code NA, individual
Dec 17, 2015 to presentfactForm ADV
← HORACK, THOMAS JOSEPHOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Oct 2, 2013 to presentfactForm ADV
← JOHN HANCOCK FINANCIAL CORPORATIONOwnerSH, ownership code E, domestic entity
Oct 2, 2013 to presentfactForm ADV
← JOHN HANCOCK FINANCIAL NETWORK, INC.OwnerPARENT COMPANY, ownership code E, domestic entity
Oct 2, 2013 to presentfactForm ADV
← JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.)OwnerSH, ownership code E, domestic entity
Oct 2, 2013 to presentfactForm ADV
← JOHN HANCOCK SUBSIDIARIES LLCOwnerSH, ownership code E, domestic entity
Oct 2, 2013 to presentfactForm ADV
← MANUFACTURERS LIFE INSURANCE COMPANYOwnerSH, ownership code E, foreign entity
Oct 2, 2013 to presentfactForm ADV
← MANULIFE FINANCIAL CORPORATIONOwnerSH, ownership code E, foreign entity
Oct 2, 2013 to presentfactForm ADV
← MANULIFE HOLDINGS (ALBERTA) LIMITEDOwnerSH, ownership code E, foreign entity
Oct 2, 2013 to presentfactForm ADV
← THE MANUFACTURERS INVESTMENT CORPORATIONOwnerSH, ownership code E, domestic entity
Oct 2, 2013 to presentfactForm ADV

Moved with (3)

→ OSAIC WEALTH, INC.Registered adviser2 advisors, team lift out
Dec 28, 2015 to Feb 6, 2026factForm ADV
→ KMS FINANCIAL SERVICES, INCRegistered adviser2 advisors, team lift out, same day
Sep 1, 2015 to Oct 1, 2015factForm ADV
→ INVESTMENT CENTERS OF AMERICA, INC.Registered adviser2 advisors, team lift out, same day
Apr 30, 2015 to Apr 30, 2015factForm ADV

Registered with (52)

← KENNETH LEE CLOWERSAdvisorregistration: previous registration
Jun 12, 2012 to Jan 7, 2016factForm ADV
← S. MCLEAN JONESAdvisorregistration: previous registration
Oct 16, 2012 to Jan 7, 2016factForm ADV
← LIAM JARED HOUSE-MYERSAdvisorregistration: previous registration
Jul 17, 2015 to Jan 7, 2016factForm ADV
← WILLIAM PAUL FRAILEYAdvisorregistration: previous registration
Jan 17, 2012 to Dec 28, 2015factForm ADV
← STEVEN JOEL JONESAdvisorregistration: previous registration
Aug 15, 2012 to Dec 28, 2015factForm ADV
← CHRISTOPHER WHEATON MCNIFFAdvisorregistration: previous registration
Mar 16, 2011 to Dec 28, 2015factForm ADV
← DEBORAH EDELLE JAMESAdvisorregistration: previous registration
Dec 19, 2012 to Dec 28, 2015factForm ADV
← ROBERT DAVID BRAUNAdvisorregistration: previous registration
Feb 29, 2012 to Dec 28, 2015factForm ADV
← Joanna PuderAdvisorregistration: previous registration
Mar 31, 2014 to Dec 28, 2015factForm ADV
← KEVIN JOHN BATEMANAdvisorregistration: previous registration
Jul 10, 2013 to Dec 28, 2015factForm ADV
← JON ROBERT JARVILLAdvisorregistration: previous registration
Aug 24, 1999 to Dec 28, 2015factForm ADV
← JAMES ROBERT SICKOREZAdvisorregistration: previous registration
Aug 14, 2006 to Dec 28, 2015factForm ADV
← MARK JOSEPH HALPINAdvisorregistration: previous registration
Sep 1, 2006 to Dec 28, 2015factForm ADV
← JEFFREY OSBURN MANSURAdvisorregistration: previous registration
Jul 11, 2003 to Dec 28, 2015factForm ADV
← TUYEN LE PHAMAdvisorregistration: previous registration
May 21, 2013 to Dec 28, 2015factForm ADV
← JAMES DAVID DOSSAdvisorregistration: previous registration
Apr 7, 2003 to Dec 28, 2015factForm ADV
← ANDREW THOMAS AMESAdvisorregistration: previous registration
May 22, 2006 to Dec 28, 2015factForm ADV
← LARRY FREDRIK SOKOLOWAdvisorregistration: previous registration
Jan 27, 2015 to Dec 28, 2015factForm ADV
← DALE SCOTT BALDWINAdvisorregistration: previous registration
Dec 17, 2012 to Dec 28, 2015factForm ADV
← MICHAEL PAUL LEATZOWAdvisorregistration: previous registration
Oct 14, 2015 to Dec 28, 2015factForm ADV
← JOHN CLINE EVANSAdvisorregistration: previous registration
Jul 31, 2007 to Dec 28, 2015factForm ADV
← WILLIAM STEPHEN SHUFFLEBARGERAdvisorregistration: previous registration
Jan 23, 2004 to Dec 28, 2015factForm ADV
← MALCOLM MACDONALD THOMASAdvisorregistration: previous registration
Jan 7, 2014 to Dec 28, 2015factForm ADV
← MICHAEL LOUIS TACCHELLAAdvisorregistration: previous registration
Aug 4, 2011 to Dec 28, 2015factForm ADV
← ANDREW LELAND SEMRAUAdvisorregistration: previous registration
Jul 1, 2010 to Dec 28, 2015factForm ADV
← AARON MICHAEL CHEESMANAdvisorregistration: previous registration
Aug 24, 2007 to Dec 28, 2015factForm ADV
← DAVID LEROY SNELSONAdvisorregistration: previous registration
Jan 7, 2013 to Dec 28, 2015factForm ADV
← RYAN JOHN BALKSAdvisorregistration: previous registration
Feb 18, 2014 to Dec 28, 2015factForm ADV
← RODNEY WILLIAM AMICONEAdvisorregistration: previous registration
May 8, 2015 to Dec 28, 2015factForm ADV
← STEVEN GREG WEHOLTAdvisorregistration: previous registration
Feb 4, 2013 to Dec 28, 2015factForm ADV
and 22 more

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:fccb6583-cadf-e365-5891-341d46e51e0a
First observed: Mar 22, 2012
Last observed: Dec 17, 2015 130 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.

SIGNATOR FINANCIAL SERVICES, INC.

CRD 19061

BOSTON, 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:fccb6583-cadf-e365-5891-341d46e51e0a

Data as of Dec 17, 2015 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:00 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ABERIZK, EMIL JOSEPH JR

Director

yes

10/2013

Oct 2, 2013

Dec 17, 2015

ARMSTRONG, ABIGAIL MARIE

SECRETARY/CLERK & COUNSEL

yes

10/2013

Oct 2, 2013

Dec 17, 2015

CLARK, JEFFREY STEPHEN

VICE PRESIDENT, DIRECTOR OF FINANCE, FINANCIAL PRINCIPAL

yes

03/2012

Mar 22, 2012

Dec 17, 2015

HEAPPS, BRIAN BASIL

Director

yes

10/2013

Oct 2, 2013

Dec 17, 2015

HORACK, THOMAS JOSEPH

CHIEF COMPLIANCE OFFICER

yes

10/2014

Oct 2, 2013

Dec 17, 2015

JOHN HANCOCK FINANCIAL CORPORATION

yes

12/2009

Oct 2, 2013

Dec 17, 2015

JOHN HANCOCK FINANCIAL NETWORK, INC.

PARENT COMPANY

yes

10/2013

Oct 2, 2013

Dec 17, 2015

JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.)

yes

12/2009

Oct 2, 2013

Dec 17, 2015

JOHN HANCOCK SUBSIDIARIES LLC

yes

01/1999

Oct 2, 2013

Dec 17, 2015

K VD HAGEN, HALINA

Director

yes

10/2015

Dec 17, 2015

KARMAN, MITCHELL ANDREW

Director

yes

10/2013

Oct 2, 2013

Dec 17, 2015

MANUFACTURERS LIFE INSURANCE COMPANY

yes

12/2009

Oct 2, 2013

Dec 17, 2015

MANULIFE FINANCIAL CORPORATION

yes

10/2004

Oct 2, 2013

Dec 17, 2015

MANULIFE HOLDINGS (ALBERTA) LIMITED

yes

12/2009

Oct 2, 2013

Dec 17, 2015

MARYANOPOLIS, CHRISTOPHER

President

yes

10/2014

Oct 2, 2013

Dec 17, 2015

REBMAN, JILL DENISE

Director

yes

04/2015

Aug 25, 2015

Dec 17, 2015

RIGATTI, MATTHEW FORREST

Director

yes

10/2013

Oct 2, 2013

Dec 17, 2015

RISPOLI, FRANK JOSEPH

Director

yes

10/2013

Oct 2, 2013

Dec 17, 2015

SUMINSKI, JOHN WILLIAM

Director

yes

10/2013

Oct 2, 2013

Dec 17, 2015

TETA, ANTHONY MAURICE

Director

yes

10/2013

Oct 2, 2013

Dec 17, 2015

THE MANUFACTURERS INVESTMENT CORPORATION

yes

12/2009

Oct 2, 2013

Dec 17, 2015

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

MANULIFE ASSET MANAGEMENT (US) LLC

n/a

Asset manager

$228B

yes

n/a

SIGNATOR INVESTORS, INC.

n/a

Former SEC adviser

$6.6B

yes

n/a

DECLARATION MANAGEMENT & RESEARCH LLC

n/a

Former SEC adviser

$4.7B

yes

n/a

HANCOCK VENTURE PARTNERS, INC.

n/a

Former SEC adviser

$5.1M

yes

n/a

AZ/JH GP (DC) LLC

n/a

yes

n/a

AZ/JH GP (IL) LLC

n/a

yes

n/a

HANCOCK CAPITAL INVESTMENT MANAGEMENT LLC

n/a

yes

n/a

JOHN HANCOCK DISTRIBUTORS LLC

n/a

yes

n/a

JOHN HANCOCK FUNDS, LLC

n/a

yes

n/a

MANULIFE ASSET MANAGEMENT TRUST COMPANY LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

E. TALLAHASSEE

United States

n/a

Missoula

United States

n/a

Missoula

United States

n/a

LAS VEGAS

United States

n/a

Seattle

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2014

Mar 30, 2015

$409M

$118M

n/a

2013

Mar 27, 2014

$378M

$157M

106

n/a

2012

Mar 20, 2013

$335M

$197M

116

n/a

2011

Mar 22, 2012

$168M

$27.8M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2014

$409M

$378M

8.4%

$168M

34.6%

106

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

OSAIC WEALTH, INC.

Dec 28, 2015

Feb 6, 2026

BOSTON, MA

Team lift out

Other

6.5%

KMS FINANCIAL SERVICES, INC

Sep 1, 2015

Oct 1, 2015

SPRING HILL, FL

Team lift out

Other

5.9%

INVESTMENT CENTERS OF AMERICA, INC.

Apr 30, 2015

MANHATTAN, MT

Team lift out

Other

5.6%