{
  "crd_number": 594,
  "slug": "moors-and-cabot-inc-boston-ma-594",
  "primary_business_name": "MOORS & CABOT, INC",
  "legal_name": "MOORS & CABOT, INC.",
  "dbas": [],
  "city": "Boston",
  "state": "MA",
  "country": "United States",
  "cbsa_code": "14460",
  "metro": {
    "cbsa_code": "14460",
    "common_name": "Boston",
    "msa_name": "Boston-Cambridge-Newton, MA-NH",
    "path": "/advisors/ma/boston"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "1995-03-30",
  "years_registered": 31,
  "period": "2026-10-01",
  "filing_date": "2026-09-30",
  "carried_forward": false,
  "raum_total": 4034068345.0,
  "raum_discretionary": 3783992995.0,
  "raum_non_discretionary": 250075350.0,
  "raum_band": "1b_5b",
  "raum_band_label": "$1 billion to $5 billion",
  "total_employees": 121,
  "advisory_employees": 85,
  "client_count_bucket": null,
  "clients_by_type": {
    "charitable": {
      "raum": 262434896.0,
      "count": 75
    },
    "individuals": {
      "raum": 1023269293.0,
      "count": 3032
    },
    "pension_profit_sharing": {
      "raum": 37803762.0,
      "count": 65
    },
    "high_net_worth_individuals": {
      "raum": 2691655272.0,
      "count": 1889
    },
    "corporations_other_businesses": {
      "raum": 18905122.0,
      "count": 13
    }
  },
  "compensation_types": [
    "commissions",
    "fixed",
    "hourly",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "pension_consulting",
    "portfolio_management_businesses_institutional",
    "portfolio_management_individuals",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": true,
  "disclosure_yes_count": 6,
  "states_registered": [
    "AL",
    "AZ",
    "CA",
    "CO",
    "CT",
    "DC",
    "FL",
    "GA",
    "IA",
    "IL",
    "IN",
    "LA",
    "MD",
    "ME",
    "MI",
    "MN",
    "MO",
    "MS",
    "MT",
    "NC",
    "NH",
    "NJ",
    "NM",
    "NY",
    "OH",
    "OK",
    "OR",
    "PA",
    "RI",
    "SC",
    "TN",
    "TX",
    "VA",
    "VT",
    "WA",
    "WI"
  ],
  "websites": [
    "https://advicebydavid.com",
    "https://dgladvisorygroup.com",
    "https://facebook.com/moorsandcabot",
    "https://jcgwealth.com",
    "https://linkedin.com/company/moors-&-cabot",
    "https://moorscabot.com",
    "https://twitter.com/moorsandcabot"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/594",
  "disclosure_items": [
    {
      "item": "11.C(2)",
      "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?"
    },
    {
      "item": "11.C(4)",
      "question": "Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.C(5)",
      "question": "Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?"
    },
    {
      "item": "11.D(2)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?"
    },
    {
      "item": "11.D(4)",
      "question": "In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.E(2)",
      "question": "Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?"
    }
  ],
  "city_as_filed": "BOSTON",
  "url": "https://advisorcensus.com/firm/moors-and-cabot-inc-boston-ma-594",
  "display_name": "Moors & Cabot, Inc",
  "summary": "Moors & Cabot, Inc is an SEC-registered investment advisory firm in Boston, MA, registered since 1995, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated September 30, 2026.",
  "citation": "AdvisorCensus. Moors & Cabot, Inc (CRD 594): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Hourly charges",
    "Fixed fees (other than subscription fees)",
    "Commissions"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Portfolio management for businesses (other than small businesses) or institutional clients",
    "Pension consulting services",
    "Selection of other advisers (including private fund managers)"
  ],
  "quick_answers": [
    {
      "q": "How is Moors & Cabot, Inc compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Moors & Cabot, Inc reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees); commissions."
    },
    {
      "q": "Where is Moors & Cabot, Inc located?",
      "a": "Moors & Cabot, Inc's principal office is in Boston, MA, according to its Form ADV; the October 2026 filing also lists 18 other offices (Schedule D, Section 1.F)."
    },
    {
      "q": "Is Moors & Cabot, Inc registered with the SEC or a state?",
      "a": "Moors & Cabot, Inc is an SEC-registered investment advisory firm, registered since 1995. Status as filed: Approved. CRD 594."
    },
    {
      "q": "How much does Moors & Cabot, Inc manage?",
      "a": "Moors & Cabot, Inc reports $4,034,068,345 in regulatory assets under management in its Form ADV filing dated September 30, 2026 (94% discretionary)."
    },
    {
      "q": "How have Moors & Cabot, Inc's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Moors & Cabot, Inc: Regulatory assets under management: $2,257,962,379 in the October 2021 data and $4,034,068,345 in the October 2026 data, up 79%. Total employees: 150 in October 2021 and 121 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Moors & Cabot, Inc serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (3,032); high net worth individuals (1,889); charitable organizations (75)."
    },
    {
      "q": "Does Moors & Cabot, Inc report any disciplinary disclosures?",
      "a": "Reports 6 disclosure items on Form ADV Item 11: yes answers to 11.C(2) (SEC or CFTC finding of a violation), 11.C(4) (SEC or CFTC order), 11.C(5) (SEC or CFTC civil money penalty or cease-and-desist order), 11.D(2) (another regulator's finding of a violation), 11.D(4) (another regulator's order in the past ten years), and 11.E(2) (self-regulatory organization's finding of a rule violation). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/594"
    },
    {
      "q": "Does Moors & Cabot, Inc state an account minimum?",
      "a": "Its Form ADV Part 2A brochure dated September 29, 2025 says: \"Moors & Cabot’s PMP generally involves a $50,000 account minimum, unless otherwise agreed to by Moors & Cabot and the client.\""
    },
    {
      "q": "What changed in Moors & Cabot, Inc's recent Form ADV filings?",
      "a": "In the October 2026 filing data: Regulatory assets under management went from $3,437,764,388 to $4,034,068,345 (+17%). Updated its list of owners and control persons (Schedule A)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 2257962379.0,
      "total_employees": 150,
      "filing_date": "2021-09-30"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 2237487715.0,
      "total_employees": 148,
      "filing_date": "2022-09-27"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 2492384191.0,
      "total_employees": 137,
      "filing_date": "2023-09-25"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 3094809067.0,
      "total_employees": 145,
      "filing_date": "2024-09-27"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 3094809067.0,
      "total_employees": 145,
      "filing_date": "2024-09-27"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 4034068345.0,
      "total_employees": 121,
      "filing_date": "2026-09-30"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-10-01",
      "period_label": "October 2026",
      "notes": [
        "Regulatory assets under management went from $3,437,764,388 to $4,034,068,345 (+17%).",
        "Updated its list of owners and control persons (Schedule A)."
      ]
    },
    {
      "period": "2026-08-01",
      "period_label": "August 2026",
      "notes": [
        "Registered or notice-filed in MS."
      ]
    },
    {
      "period": "2025-12-01",
      "period_label": "December 2025",
      "notes": [
        "Employees performing advisory functions went from 73 to 85.",
        "Regulatory assets under management went from $3,094,809,067 to $3,437,764,388 (+11%)."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated September 29, 2025",
    "tiers": [],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": "$50,000",
    "account_minimum_may_be_waived": false,
    "minimum_annual_fee": null,
    "figures": [
      {
        "label": "Account minimum",
        "statements": [
          "Account minimum: $50,000"
        ],
        "quotes": [
          "Moors & Cabot’s PMP generally involves a $50,000 account minimum, unless otherwise agreed to by Moors & Cabot and the client."
        ]
      }
    ],
    "quotes": [
      "Moors & Cabot’s PMP generally involves a $50,000 account minimum, unless otherwise agreed to by Moors & Cabot and the client."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [],
  "custodians_note": null,
  "markdown_url": "https://advisorcensus.com/firm/moors-and-cabot-inc-boston-ma-594.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 3032,
      "fewer_than_5": false,
      "raum": 1023269293.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 1889,
      "fewer_than_5": false,
      "raum": 2691655272.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 65,
      "fewer_than_5": false,
      "raum": 37803762.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 75,
      "fewer_than_5": false,
      "raum": 262434896.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 13,
      "fewer_than_5": false,
      "raum": 18905122.0
    }
  ],
  "disclosure_line": "Reports 6 disclosure items on Form ADV Item 11.",
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/594",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}