FINANCIAL NAVIGATORS INC.
Adviser information for FINANCIAL NAVIGATORS INC. last updated from Form ADV on February 15th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Massachusetts, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 6 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 6 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 611 | $182.2M |
| Non-Discretionary | 0 | $0 |
| Total | 611 | $182.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 144 | $58.2M |
| HNW Individuals | 53 | $123.1M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $796,528 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 1078 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesCONSULTING/COACHING/STUDENT LOAN ADVISORY |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesA PERCENTAGE OF CLIENT'S INCOME |
Identifiers
| SEC RIA File Number | 801-121802 |
|---|---|
| SEC ERA File Number | 801-121802 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 134873 |
| Legal Entity Identifier | None |
Principal Office
127 SOUTH BOLTON ROADBOLTON
MA
United States
BY APPOINTMENT, BY APPOINTMENT
Tel: 978-952-6800, Fax: 978-952-6234
Chief Compliance Officer
MARIAH MAINES
FINANCIAL PLANNER AND INVESTMENT ADVISOR
46 GEORGE ROAD
QUINCY
MA
United States
Tel:
978-952-6800
Fax:
978-952-6234
M*****@***************M
(Full email address available in API data)
Regulatory Contact
CASANDRA JOHNSON
CFO AND EXECUTIVE VICE PRESIDENT
127 SOUTH BOLTON ROAD
BOLTON
MA
United States
Tel:
978-952-6800
C*******@***************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| LEGAULT, CYNTHIA, SUSAN | Individual | – | CEO | 03/2005 | > 75% |
| LEWIS, MARCIA, LOUISE | Individual | – | EXECUTIVE VICE PRESIDENT | 06/2015 | 5-10% |
| TILDEN, CHRISTOPHER, MARK | Individual | – | PRESIDENT AND CIO | 01/2019 | 5-10% |
| JOHNSON, CASANDRA, ANN | Individual | – | EXECUTIVE VICE PRESIDENT AND CFO | 01/2022 | < 5% |
| MAINES, MARIAH, MARIE | Individual | – | CCO | 01/2024 | < 5% |
| SHLYAKHETKO, ROMAN | Individual | – | COO | 01/2024 | < 5% |
| VERSOY, JENNIFER, A | Individual | – | SENIOR CLIENT SERVICE MANAGER | 02/2024 | < 5% |