Broker-dealer firm · Boston, MA
Moors & Cabot, Inc
Moors & Cabot, Inc. · SEC-registered investment adviser · CRD 594 · SEC 801-48726
At a glance
Moors & Cabot, Inc is an SEC-registered investment adviser based in Boston, Massachusetts, with $4.0 billion in regulatory assets under management as of its Form ADV filed September 30, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 4,921 individual clients. By Form ADV it is a broker-dealer firm, ranked 99th of 391 broker-dealer firms and 2,403rd of 17,210 SEC-registered advisers by assets.
Main office 800-426-0501moorscabot.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $4.0B
- Rank among broker-dealer firms
- #99 of 391
- Rank among all SEC RIAs
- #2,403 of 17,210
- Rank in Massachusetts
- #162 of 627
- Individual clients
- 4,921
- High-net-worth clients
- 1,889
- Accounts
- 5,596
- Discretionary
- 94% of AUM
- Employees
- 121
- Advisory staff
- 85
- Offices
- 31
Owners and executives on its Form ADV
- Michael Charles BraunEvp/coo/director
- Michael Christopher HildrethEvp/cfo/finop/president/ceo/director
- Mark David GarrettDirector/co-Chairman/trustee
- Joseph Philip CuetaraSVP Fixed Income/municipal Principal
- Katherine Rose KelliherSVP & Chief Compliance Officer
Custody and brokerage
Custodian
Moors & Cabot, Inc’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.
Broker-dealer
Hybrid RIA
Moors & Cabot, Inc is a hybrid RIA: 121 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: Moors & Cabot, Inc..
- Moors & Cabot, Inc. ↗CRD 594
Its Form ADV brochure (filed September 2026) names Moors & Cabot as the broker-dealer its advisers are registered with.
Your representative is registered with Moors & Cabot as an RR and may be a licensed insurance agent.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 1,889 | $2.7B | 67% |
| Individuals | 3,032 | $1.0B | 25% |
| Charitable organizations | 75 | $262M | 7% |
| Pension and profit sharing plans | 65 | $38M | <1% |
| Corporations or other businesses | 13 | $19M | <1% |
Disciplinary disclosures
Moors & Cabot, Inc answers yes to 19 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
- Pension consulting
- Selecting other advisers
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
- Commissions
Form ADV and brochures on the SEC’s adviser search ↗moorscabot.com ↗
AtlasMembers
The full record on Moors & Cabot, Inc
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 91 peers of its type and size
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- Owners and executives, with titles and stakes
- 5 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
- 3Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Moors & Cabot, Inc manage?
Moors & Cabot, Inc reports $4.0 billion in regulatory assets under management across 5,596 accounts, 94% of it on a discretionary basis, on its Form ADV filed September 30, 2026.
What kind of firm is Moors & Cabot, Inc?
Moors & Cabot, Inc is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser.
Who are Moors & Cabot, Inc’s clients?
By assets, its largest client types are high-net-worth individuals ($2.7 billion, 1,889 clients); individuals ($1.0 billion, 3,032 clients); charitable organizations ($262 million, 75 clients).
Does Moors & Cabot, Inc have any disciplinary history?
Moors & Cabot, Inc answers yes to 19 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Moors & Cabot, Inc’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-09-30), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →