Broker-dealer firm · Lincoln, MA
U. S. Boston Capital Corporation
SEC-registered investment adviser · CRD 5251 · SEC 801-130044
At a glance
U. S. Boston Capital Corporation is an SEC-registered investment adviser based in Lincoln, Massachusetts, with $360 million in regulatory assets under management as of its Form ADV filed February 3, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 92 individual clients. By Form ADV it is a broker-dealer firm, ranked 230th of 391 broker-dealer firms and 9,288th of 17,210 SEC-registered advisers by assets.
Main office 781-259-1144usboston.comAs filed on Form ADV
- Regulatory AUM
- $360M
- Rank among broker-dealer firms
- #230 of 391
- Rank among all SEC RIAs
- #9,288 of 17,210
- Rank in Massachusetts
- #422 of 627
- Individual clients
- 92
- High-net-worth clients
- 30
- Accounts
- 271
- Discretionary
- 0% of AUM
- Employees
- 5
- Advisory staff
- 1
- Offices
- 1
Owners and executives on its Form ADV
- Willard Lee UmphreyDirector
- Leon OkurowskiVice President, Director and Clerk
- Deborah Anne KessingerChief Compliance Officer, Broker Dealer
- Deborah Anne KessingerPresident
- Diane HuntPrincipal Operations Officer
- Diane HuntTreasurer
- Alina MonisovChief Compliance Officer, Investment Advisory
Custody and brokerage
Custodian
U. S. Boston Capital Corporation’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
U. S. Boston Capital Corporation is a hybrid RIA: 2 of its employees are also registered representatives of a broker-dealer. It reports a broker-dealer among its affiliates on Form ADV.
Its Form ADV brochure (filed February 2026) names U. S. Boston Capital as the broker-dealer its advisers are registered with.
McClellan is a Principal of Pear Tree Partners, an investment adviser representative and is a registered representative of USBCC.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 30 | $279M | 78% |
| Individuals | 62 | $68M | 19% |
| Pension and profit sharing plans | 5 | $13M | 4% |
Disciplinary disclosures
U. S. Boston Capital Corporation answers yes to 1 disclosure item 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
- Pension consulting
- Other services
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗usboston.com ↗
AtlasMembers
The full record on U. S. Boston Capital Corporation
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, 2 years of filings
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- Growth over one, three and five years
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- Rank against 163 peers of its type and size
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- Owners and executives, with titles and stakes
- 7 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does U. S. Boston Capital Corporation manage?
U. S. Boston Capital Corporation reports $360 million in regulatory assets under management across 271 accounts, on its Form ADV filed February 3, 2026.
What kind of firm is U. S. Boston Capital Corporation?
U. S. Boston Capital Corporation 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 U. S. Boston Capital Corporation’s clients?
By assets, its largest client types are high-net-worth individuals ($279 million, 30 clients); individuals ($68 million, 62 clients); pension and profit sharing plans ($13 million, 5 clients).
Does U. S. Boston Capital Corporation have any disciplinary history?
U. S. Boston Capital Corporation answers yes to 1 disclosure item 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 U. S. Boston Capital Corporation’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 (2026-02-03), 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 →