PROCTOR FINANCIAL
PROCTOR FINANCIAL, INC. Legal Name
Adviser information for PROCTOR FINANCIAL last updated from Form ADV on March 29th, 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 | 10 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| 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 | 854 | $332.8M |
| Non-Discretionary | 0 | $0 |
| Total | 854 | $332.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 128 | $66.7M |
| HNW Individuals | 85 | $265.5M |
| 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 | 0 | $0 |
| Charitable organizations | <5 | $632,911 |
| 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 | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers)Educational seminars/workshopsTAX PREPARATION |
|---|---|
| Compensation | % of AUMFixed feesTUITION FEES |
| Other Business Activities | Accountant or accounting firm |
Identifiers
| SEC RIA File Number | 801-61596 |
|---|---|
| SEC ERA File Number | 801-61596 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 122021 |
| Legal Entity Identifier | None |
Principal Office
18 N. MAIN STREETSHERBORN
MA
United States
Monday - Friday, 10 AM TO 6 PM
Tel: 781-235-0405, Fax: 781-235-0610
Websites
Chief Compliance Officer
TONY PROCTOR
PRESIDENT
18 N. MAIN STREET
SHERBORN
MA
United States
Tel:
781-235-0405
Fax:
781-235-0610
T********@*******************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 |
|---|---|---|---|---|---|
| PROCTOR, TONY, JOSEPH | Individual | – | PRESIDENT | 07/2002 | > 75% |
| DOUCETTE, STEPHEN, JENKINS | Individual | – | VICE PRESIDENT | 12/2004 | 10-25% |
| PROCTOR, TONY, JOSEPH | Individual | – | CHIEF COMPLIANCE OFFICER | 10/2004 | > 75% |