Adviser Profile

As of Date 09/21/2026
Registration SEC, Approved, 09/11/1991
ADV Location WALTHAM, MA, United States
Contact Info (61 xxxxxxx
Websites
AUM* 712,076,143 17%
of that, discretionary 707,341,597 18%
Number of Employees 12 9%
of those in investment advisory functions 7 -13%
Private Fund GAV* 0
Avg Account Size 816,601 11%
% High Net Worth 41.07% -4%
SMA’s Yes
Private Funds 0

Adviser Type

- Large advisory firm

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals
- Pension and profit sharing plans
- Charitable organizations
- Corporations or other businesses not listed above

Advisory Activities

- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses

Compensation Arrangments

- A percentage of assets under your management
- Fixed fees (other than subscription fees)

Reported AUM

707M 606M 505M 404M 303M 202M 101M
2015 2016 2017 2018 2019 2020 2021 2022 2023 2024 2025 2026
Discretionary
Non-discretionary

Private Funds

No private funds

Employees

Form ADV-E Surprise Examination Reports

Accounting Firm Name Filing Date Form ADV-E
Accounting Firm Name ASSURANCE DIMENSIONS Filing Date01/15/2026 Form ADV-E View Report
Accounting Firm Name WALTER & SHUFFAIN, P.C. Filing Date11/20/2024 Form ADV-E View Report
Accounting Firm Name WALTER & SHUFFAIN, P.C. Filing Date10/10/2023 Form ADV-E View Report

Top Holdings

Stock Ticker Stock Name $ Position % Position $ Change # Change
Stck Ticker142339100 Stock NameCARLISLE COS INC $ Position$25,901,115 % Position9.00% $ Change9.00% # Change0.00%
Stck Ticker037833100 Stock NameAPPLE INC $ Position$16,851,096 % Position6.00% $ Change13.00% # Change-1.00%
Stck Ticker084670702 Stock NameBERKSHIRE HATHAWAY INC DEL $ Position$11,725,695 % Position4.00% $ Change5.00% # Change1.00%
Stck Ticker46625H100 Stock NameJPMORGAN CHASE & CO $ Position$11,037,232 % Position4.00% $ Change10.00% # Change-1.00%
Stck Ticker594918104 Stock NameMICROSOFT CORP $ Position$10,666,372 % Position4.00% $ Change13.00% # Change12.00%
Stck Ticker478160104 Stock NameJOHNSON & JOHNSON $ Position$9,470,018 % Position3.00% $ Change4.00% # Change0.00%
Stck Ticker46137V357 Stock NameINVESCO EXCHANGE TRADED FD T $ Position$6,696,428 % Position2.00% $ Change26.00% # Change14.00%
Stck Ticker58933Y105 Stock NameMERCK & CO INC $ Position$6,731,796 % Position2.00% $ Change8.00% # Change1.00%
Stck Ticker30303M102 Stock NameMETA PLATFORMS INC $ Position$4,948,629 % Position2.00% $ Change9.00% # Change10.00%
Stck Ticker02079K305 Stock NameALPHABET INC $ Position$6,734,691 % Position2.00% $ Change23.00% # Change-1.00%

Brochure Summary