FindingFraud.org


Blog
Contact
Initial
Research

ABBOT FINANCIAL MANAGEMENT, INC
ABBOT FINANCIAL MANAGEMENT, INC (CRD# 111040) is an SEC-Registered Investment Advisor (RIA), headquartered in North Andover, MA. The SEC approved the firm to operate as an RIA in Nov 1983. In Oct 2018, the firm reported total Regulatory Assets Under Management (RAUM) of $187.9 Million, and has discretion over 100% of those assets.   Pooled investment vehicles (Private Funds) account for 0% of RAUM.   Non-US investors represent 0% .  
 
ABBOT FINANCIAL MANAGEMENT, INC also reported in Oct 2018:
  • 4 employees, with 3 performing advisory functions.
  • A total of 2 office locations.
  • No registrations with foreign financial regulatory authorities.
  • NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
ABBOT FINANCIAL MANAGEMENT, INC has no disclosure events reported to the SEC at this time.
 

View ABBOT FINANCIAL MANAGEMENT, INC's most recent Form ADV filing
 


ABBOT FINANCIAL MANAGEMENT, INC has Notice Filings with the following State Securities Authorities: CA-Sep 2017, FL-Sep 2017, MA-Apr 1994, NH-Dec 1992, NJ-Oct 2018 , SC-Sep 2017

Disclaimer:  The information presented above was gleaned from the SEC website and is believed to be accurate.  FindingFraud.org is presenting this data for informational purposes only and assumes no responsibility for errors or omissions.  Please note that we are aware of many instances where RIAs provided erroneous data to the SEC.  Feel Free to contact FindingFraud.org with questions or concerns.