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 Investors, Inc.

Former SEC-registered adviserBoston, MassachusettsCRD 468SEC 801-56298IAPD
Latest filing Jul 17, 2018
First filing on the tape Dec 15, 2011 · 71 filings
RAUM
$6.6B
reported, Item 5.F
Discretionary
25%
of RAUM
Private clients
98%
$6.5B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1,206
1,161 advisory (5.B.1)
Offices
515
beyond the principal office
Private funds
0
reported on Schedule D
History
71 filings and snapshots on the tape
RAUM$6.6B as of Mar 27, 2018
Mar 28, 2012$1.5B then
HNW client RAUM: $98.9M
State-registered IARs (5.B.3)164 as of Mar 27, 2018
Mar 26, 20135 then
Employees (5.A)1,206 as of Mar 27, 2018
Mar 26, 2013678 then
Private funds: no history
RAUM +19% over the last fiscal year+44% a year over threeIARs 966 to 164
Practice profile
derived from the filing of Jul 17, 2018; every figure names its basis
RAUM per advisor
$40.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
245derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$11.0MderivedHNW RAUM over HNW clients
Average account
$191,694derivedRAUM over accounts (5.F.2.f)
Discretionary
25%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
7.4derivedItem 5.A over advisors
Advisors per office
0.3derived516 offices incl. principal (1.F.5)
RAUM growth, one year
+19%derivedbetween the last two annual amendments
Advisor growth, one year
-83%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, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
Financial planning clients
750reportedItem 5.H
Wrap fee program
$4.9BreportedItem 5.I
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
  • Individuals$6.4B97%
  • Corporations and businesses$113M1.7%
  • High-net-worth individuals$98.9M1.5%
  • Charitable organizations$2.5M0.0%
Individual clients
40,125reported
HNW clients
9reported
Pension plan clients
n/areported
Charitable clients
8reported
Accounts
34,375reported
Financial planning clients
750reported
Wrap fee programs
$1.6B sponsored, $3.4B managedreported
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
  • Abigail Marie Armstrong · Vice President, Counsel And Asst Secretarycontrol
    since 12/2005 · owns less than 5%
  • Melvyn Julian D'Souza · Vice Presidentcontrol
    since 10/2015 · owns less than 5%
  • Steven Francis Dorval · Directorcontrol
    since 04/2017 · owns less than 5%
  • Thomas Joseph Horack · Vp & Directorcontrol
    since 09/2017 · owns less than 5%
  • Mitchell Andrew Karman · Directorcontrol
    since 02/2005 · owns less than 5%
  • Christopher Maryanopolis · President & Directorcontrol
    since 07/2007 · owns less than 5%
  • Jill Denise Rebman · Directorcontrol
    since 04/2015 · owns less than 5%
  • Matthew Forrest Rigatti · Directorcontrol
    since 03/2012 · owns less than 5%
  • Joseph Dean Terry · Chief Compliance Officer & Directorcontrol
    since 03/2017 · owns less than 5%
  • Anthony Maurice Teta · Directorcontrol
    since 03/2012 · owns less than 5%
  • Melissa M Vacon · Vice President & Directorcontrol
    since 10/2015 · owns less than 5%
  • Emanuel Alves · Secretary
    since 04/2015 · owns less than 5%
  • Brian Douglas Collins · Vice President
    since 04/2016 · owns less than 5%
  • Yiu Kwong-Loi · Assistant Secretary
    since 04/2016 · owns less than 5%
  • Frank Joseph Rispoli · Chief Financial Officer & Treasurer
    since 11/2007 · owns less than 5%
  • Brian Thomas Tucker · Assistant Secretary
    since 04/2016 · 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 Manufacturers 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
Advisers that list Signator Investors, Inc. as a related person
Offices
Schedule D 1.F, the 25 largest
  • Melville, NY55 employees
  • Livingston, NJ33 employees
  • Southfield, MI26 employees
  • Andover, MA21 employees
  • Raleigh, NC16 employees
  • Needham Heights, MA15 employees
  • Honolulu, HI14 employees
  • Warwick, RI14 employees
  • Bosont, MA13 employees
  • Grandville, MI13 employees
  • Grand Rapids, MI13 employees
  • Cedar Rapids, IA12 employees
  • Boca Raton, FL12 employees
  • Tampa, FL12 employees
  • Brookfield, WI11 employees
  • Virginia Beach, VA11 employees
  • Johnston, IA11 employees
  • Nashville, TN10 employees
  • Vienna, VA9 employees
  • Mishawaka, IN9 employees
  • Rocky Hill, CT8 employees
  • Sterling Heights, MI5 employees
  • Marshfield, MA5 employees
  • Allentown, PA5 employees
  • Williamsville, NY4 employees
What changed
consecutive filings, newest first
  • Accounts · 29,854 to 34,375
    Sep 29, 2017 to Mar 27, 2018
  • Advisory employees · 1,288 to 1,161
    Sep 29, 2017 to Mar 27, 2018
  • BD registered reps · 1,357 to 1,206
    Sep 29, 2017 to Mar 27, 2018
  • Charity clients · unset to 8.0
    Sep 29, 2017 to Mar 27, 2018
  • Corporate clients · unset to 294.0
    Sep 29, 2017 to Mar 27, 2018
  • HNW clients · unset to 9.0
    Sep 29, 2017 to Mar 27, 2018
  • Individual clients · unset to 40125.0
    Sep 29, 2017 to Mar 27, 2018
  • Employees · 1,357 to 1,206
    Sep 29, 2017 to Mar 27, 2018
  • Insurance-licensed employees · 4 to 7
    Sep 29, 2017 to Mar 27, 2018
  • Financial planning clients · 251-500 to More than 500
    Sep 29, 2017 to Mar 27, 2018
  • State-registered IARs · 966 to 164
    Sep 29, 2017 to Mar 27, 2018
  • Other offices · unset to 515.0
    Sep 29, 2017 to Mar 27, 2018
  • Discretionary RAUM · $906M to $1.7B
    Sep 29, 2017 to Mar 27, 2018
  • HNW RAUM · unset to 98868855.0
    Sep 29, 2017 to Mar 27, 2018
  • Individual RAUM · unset to 6367649980.0
    Sep 29, 2017 to Mar 27, 2018
  • Non-discretionary RAUM · $4.6B to $4.9B
    Sep 29, 2017 to Mar 27, 2018
  • RAUM · $5.5B to $6.6B
    Sep 29, 2017 to Mar 27, 2018
  • Wrap assets (manager) · unset to 3366002032.0
    Sep 29, 2017 to Mar 27, 2018
  • Wrap assets (sponsor) · unset to 1559415948.0
    Sep 29, 2017 to Mar 27, 2018
  • Accounts · 25,384 to 29,854
    Jan 6, 2017 to Mar 27, 2017
  • Advisory employees · 585 to 1,288
    Jan 6, 2017 to Mar 27, 2017
  • BD registered reps · 625 to 1,357
    Jan 6, 2017 to Mar 27, 2017
  • Employees · 625 to 1,357
    Jan 6, 2017 to Mar 27, 2017
  • Financial planning clients · 101-250 to 251-500
    Jan 6, 2017 to Mar 27, 2017
  • State-registered IARs · 4 to 966
    Jan 6, 2017 to Mar 27, 2017
  • Discretionary RAUM · $432M to $906M
    Jan 6, 2017 to Mar 27, 2017
  • Non-discretionary RAUM · $1.8B to $4.6B
    Jan 6, 2017 to Mar 27, 2017
  • RAUM · $2.2B to $5.5B
    Jan 6, 2017 to Mar 27, 2017
  • Accounts · 11,931 to 25,384
    Feb 16, 2016 to Mar 30, 2016
  • Discretionary RAUM · $272M to $432M
    Feb 16, 2016 to Mar 30, 2016
  • Non-discretionary RAUM · $2.0B to $1.8B
    Feb 16, 2016 to Mar 30, 2016
  • RAUM · $2.2B to $2.2B
    Feb 16, 2016 to Mar 30, 2016
  • Accounts · 11,940 to 11,931
    Mar 9, 2015 to Mar 27, 2015
  • Advisory employees · 640 to 585
    Mar 9, 2015 to Mar 27, 2015
  • BD registered reps · 710 to 625
    Mar 9, 2015 to Mar 27, 2015
  • Employees · 740 to 625
    Mar 9, 2015 to Mar 27, 2015
  • Insurance-licensed employees · 5 to 4
    Mar 9, 2015 to Mar 27, 2015
  • State-registered IARs · 5 to 4
    Mar 9, 2015 to Mar 27, 2015
  • Discretionary RAUM · $128M to $272M
    Mar 9, 2015 to Mar 27, 2015
  • Non-discretionary RAUM · $1.2B to $2.0B
    Mar 9, 2015 to Mar 27, 2015
Signals
1 dated events
  • Signator Investors, Inc. reported 164 state-registered advisory representatives, down from 966 (2017-09-29 to 2018-03-27)
    Mar 27, 2018 · Advisor headcount change · derived
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