DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Signator Financial Services, Inc.

Former SEC-registered adviserBoston, MassachusettsCRD 19061SEC 801-66750IAPD
Latest filing Dec 17, 2015
First filing on the tape Mar 22, 2012 · 24 filings
RAUM
$409M
reported, Item 5.F
Discretionary
29%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
73
69 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$409M as of Mar 30, 2015
Mar 22, 2012$168M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 30, 2015
Mar 22, 20120 then
Employees (5.A)73 as of Mar 30, 2015
Mar 20, 2013116 then
Private funds: no history
RAUM +8.4% over the last fiscal year+35% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Dec 17, 2015; every figure names its basis
RAUM per advisor
$136MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$351,124derivedRAUM over accounts (5.F.2.f)
Discretionary
29%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
24.3derivedItem 5.A over advisors
Advisors per office
0.5derived6 offices incl. principal (1.F.5)
RAUM growth, one year
+8.4%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • is a broker-dealer (6.A.1)
  • is an insurance broker or agent (6.A.6)
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1,166reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Emil Joseph Jr Aberizk · Directorcontrol
      since 10/2013 · owns less than 5%
    • Abigail Marie Armstrong · Secretary/Clerk & Counselcontrol
      since 10/2013 · owns less than 5%
    • Jeffrey Stephen Clark · Vice President, Director Of Finance, Financial Principalcontrol
      since 03/2012 · owns less than 5%
    • Brian Basil Heapps · Directorcontrol
      since 10/2013 · owns less than 5%
    • Thomas Joseph Horack · Chief Compliance Officercontrol
      since 10/2014 · owns less than 5%
    • Halina K Vd Hagen · Directorcontrol
      since 10/2015 · owns less than 5%
    • Mitchell Andrew Karman · Directorcontrol
      since 10/2013 · owns less than 5%
    • Christopher Maryanopolis · Presidentcontrol
      since 10/2014 · owns less than 5%
    • Jill Denise Rebman · Directorcontrol
      since 04/2015 · owns less than 5%
    • Matthew Forrest Rigatti · Directorcontrol
      since 10/2013 · owns less than 5%
    • Frank Joseph Rispoli · Directorcontrol
      since 10/2013 · owns less than 5%
    • John William Suminski · Directorcontrol
      since 10/2013 · owns less than 5%
    • Anthony Maurice Teta · Directorcontrol
      since 10/2013 · owns less than 5%
    Entity owners
    • John Hancock Financial Network, Inc. · Parent Company
      direct · owns 75% or more
    • John Hancock Financial Corporation · Sh
      indirect · owns 75% or more of The Manufacturers Investment Corporation
    • John Hancock Life Insurance Company (U.S.A.) · Sh
      indirect · owns 75% or more of John Hancock Subsidiaries LLC
    • John Hancock Subsidiaries LLC · Sh
      indirect · owns 75% or more of John Hancock Financial Network, Inc.
    • Manufacturers Life Insurance Company · Sh
      indirect · owns 75% or more of Manulife Holdings (Alberta) Limited
    • Manulife Financial Corporation · Sh
      indirect · owns 75% or more of Manufaturers Life Insurance Company · public reporting company
    • Manulife Holdings (Alberta) Limited · Sh
      indirect · owns 75% or more of John Hancock Financial Corporation
    • The Manufacturers Investment Corporation · Sh
      indirect · owns 75% or more of John Hancock Life Insurance Company (U.S.A.)
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    • E. Tallahassee, FL
    • Las Vegas, NV
    • Missoula, MT
    • Missoula, MT
    • Seattle, WA
    What changed
    consecutive filings, newest first
    • Accounts · 1,604 to 1,166
      Feb 17, 2015 to Mar 27, 2015
    • Advisory employees · 98 to 69
      Feb 17, 2015 to Mar 27, 2015
    • BD registered reps · 105 to 73
      Feb 17, 2015 to Mar 27, 2015
    • Employees · 106 to 73
      Feb 17, 2015 to Mar 27, 2015
    • Discretionary RAUM · $157M to $118M
      Feb 17, 2015 to Mar 27, 2015
    • Non-discretionary RAUM · $221M to $291M
      Feb 17, 2015 to Mar 27, 2015
    • RAUM · $378M to $409M
      Feb 17, 2015 to Mar 27, 2015
    • HQ city · BELLEVUE to BOSTON
      Mar 27, 2014 to Nov 17, 2014
    • HQ state · WA to MA
      Mar 27, 2014 to Nov 17, 2014
    • Accounts · 1,605 to 1,604
      Feb 21, 2014 to Mar 27, 2014
    • Advisory employees · 95 to 98
      Feb 21, 2014 to Mar 27, 2014
    • BD registered reps · 116 to 105
      Feb 21, 2014 to Mar 27, 2014
    • Employees · 116 to 106
      Feb 21, 2014 to Mar 27, 2014
    • Insurance-licensed employees · 2 to 3
      Feb 21, 2014 to Mar 27, 2014
    • Financial planning clients · More than 500 to 11-25
      Feb 21, 2014 to Mar 27, 2014
    • State-registered IARs · 116 to 3
      Feb 21, 2014 to Mar 27, 2014
    • Discretionary RAUM · $197M to $157M
      Feb 21, 2014 to Mar 27, 2014
    • Non-discretionary RAUM · $138M to $221M
      Feb 21, 2014 to Mar 27, 2014
    • RAUM · $335M to $378M
      Feb 21, 2014 to Mar 27, 2014
    • Business name · SYMETRA INVESTMENT SERVICES, INC. to SIGNATOR FINANCIAL SERVICES, INC.
      Oct 2, 2013 to Oct 15, 2013
    • Legal name · SYMETRA INVESTMENT SERVICES, INC. to SIGNATOR FINANCIAL SERVICES, INC.
      Oct 2, 2013 to Oct 15, 2013
    • Related bank · false to true
      Jul 30, 2013 to Oct 2, 2013
    • Accounts · 1,545 to 1,605
      Apr 5, 2012 to Mar 20, 2013
    • Advisory employees · unset to 95.0
      Apr 5, 2012 to Mar 20, 2013
    • BD registered reps · unset to 116.0
      Apr 5, 2012 to Mar 20, 2013
    • Employees · unset to 116.0
      Apr 5, 2012 to Mar 20, 2013
    • State-registered IARs · 0 to 116
      Apr 5, 2012 to Mar 20, 2013
    • Discretionary RAUM · $27.8M to $197M
      Apr 5, 2012 to Mar 20, 2013
    • Non-discretionary RAUM · $140M to $138M
      Apr 5, 2012 to Mar 20, 2013
    • RAUM · $168M to $335M
      Apr 5, 2012 to Mar 20, 2013
    Signals
    No event on the tape.
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    Provenance
    Form ADV
    SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
    Advisors
    IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
    Class
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026