Hedge Fund Database

ROPES WEALTH ADVISORS

ROPES WEALTH ADVISORS LLC Legal Name

Adviser information for ROPES WEALTH ADVISORS last updated from Form ADV on July 28th, 2023. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization Limited Liability Company
Fiscal Year End DECEMBER
Legal Location Delaware, United States

Employees

Total Number of Employees 41
Investment Advisory/Research 11
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 9
Licensed Agents of an Insurance Company 0
No. of Firms/People that Solicit Clients 1

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 3,573 $6.2B
Non-Discretionary 59 $248.3M
Total 3,632 $6.5B

Clients

Type Number RAUM
Individuals 405 $134.0M
HNW Individuals 921 $5.4B
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 $407.0M
Charitable organizations 20 $447.5M
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 <5 $33.8M
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 businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)
Compensation % of AUMHourly chargesFixed fees

Identifiers

SEC RIA File Number 801-80238
SEC ERA File Number 801-80238
SEC CIK Numbers 1641652
SEC CRD Numbers 168615
Legal Entity Identifier None

Principal Office

PRUDENTIAL TOWER
800 BOYLSTON STREET
BOSTON
MA
United States
Monday - Friday, 9:00 AM TO 5:00 PM
Tel: 857-255-2100, Fax: 857-400-9757

Websites

www.ropeswealthadvisors.com

Chief Compliance Officer

KRISTIN D. FAZIO
PRUDENTIAL TOWER
800 BOYLSTON STREET
BOSTON
MA
United States
Tel: 857-255-2111
(Full email address available in API data)

Regulatory Contact

IRENE E. BRENNAN
ASSOCIATE COMPLIANCE DIRECTOR
PRUDENTIAL TOWER
800 BOYLSTON STREET
BOSTON
MA
United States
Tel: 857-255-2147
Fax: 857-400-9757
(Full email address available in API data)

Industry Affiliates

ADVISER INVESTMENTS Other investment adviser, including financial planners
HALL AND DIANA LLP Lawyer or law firm
HALL AND DIANA LLP Lawyer or law firm
POLARIS WEALTH ADVISORY GROUP Other investment adviser, including financial planners

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
FAZIO, KRISTIN, DIBARNABA Individual – CHIEF COMPLIANCE OFFICER 01/2015 < 5%
KNIGHT, MICHELLE, ANN Individual – PRESIDENT AND CHIEF ECONOMIST 01/2020 < 5%
POWERS, JOSEPH, EDMUND Individual – CHIEF INVESTMENT OFFICER 01/2020 < 5%
ADVISER INVESTMENTS Domestic Entity – MANAGING MEMBER 07/2023 > 75%
AI INTERMEDIATE, LLC Domestic Entity ADVISER INVESTMENTS MANAGING MEMBER 05/2002 > 75%
AI PARENT, LLC Domestic Entity AI INTERMEDIATE, LLC MANAGING MEMBER 12/2020
SP-AI HOLDINGS, L.P. Domestic Entity AI PARENT, LLC MANAGING MEMBER 12/2020
AI HOLDINGS GP, LLC Domestic Entity SP-AI HOLDINGS, L.P. GENERAL PARTNER 12/2020
SUMMIT PARTNERS GROWTH EQUITY FUND X-A, L.P. Foreign Entity SP-AI HOLDINGS, L.P. LIMITED PARTNER 12/2020 25-50%
SUMMIT PARTNERS GE X, LP Foreign Entity SUMMIT PARTNERS GROWTH EQUITY FUND X-A, L.P. GENERAL PARTNER 12/2020
SUMMIT PARTNERS, L.P. Domestic Entity SUMMIT PARTNERS GE X, LP GENERAL PARTNER 12/2020
SUMMIT MASTER COMPANY, LLC Domestic Entity SUMMIT PARTNERS, L.P. GENERAL PARTNER 12/2020
LOWELL, JAMES, HALE Individual AI HOLDINGS GP, LLC MANAGER 12/2020
WIENER, DANIEL, PHILIP Individual AI HOLDINGS GP, LLC MANAGER 12/2020
JURMAN, CHELSEA, LYNN Individual AI HOLDINGS GP, LLC MANAGER 12/2020
Hamilton, Matthew, Guy Individual AI HOLDINGS GP, LLC MANAGER 12/2020
Yadlapati, Vamsi, Krishna Individual AI HOLDINGS GP, LLC MANAGER 12/2020

No. Employees, Historic

502502020202120222023202434 on 2/13/202036 on 3/27/202036 on 6/25/202036 on 12/23/202036 on 12/23/202033 on 3/29/202137 on 3/29/202241 on 3/30/202341 on 7/28/2023

RAUM, Historic

8B4B0202020212022202320244260359685 on 2/13/20205013720577 on 3/27/20205013720577 on 6/25/20205013720577 on 12/23/20205013720577 on 12/23/20206331323298 on 3/29/20217502868640 on 3/29/20226468204099 on 3/30/20236468204099 on 7/28/2023

No. Clients, Historic

2,0001,0000202020212022202320241097 on 2/13/20201156 on 3/27/20201156 on 6/25/20201156 on 12/23/20201156 on 12/23/20201213 on 3/29/20211291 on 3/29/20221346 on 3/30/20231346 on 7/28/2023

Holdings

From latest 13F, filed October 19th, 2023 for period ending September 30th, 2023
Name Class Value $USD # Shares Private Fund
10X GENOMICS INC CL A COM 380K 9K –
3M CO COM 2M 23K –
ABBOTT LABS COM 3M 34K –
ABBVIE INC COM 5M 34K –
ACCENTURE PLC IRELAND SHS CLASS A 1M 4K –
ADOBE INC COM 2M 3K –
ADVANCED MICRO DEVICES INC COM 432K 4K –
AFLAC INC COM 414K 5K –
AGILENT TECHNOLOGIES INC COM 215K 2K –
AIR PRODS & CHEMS INC COM 5M 16K –
AKAMAI TECHNOLOGIES INC COM 4M 37K –
ALIBABA GROUP HLDG LTD SPONSORED ADS 2M 22K –
ALPHABET INC CAP STK CL A 9M 66K –
ALPHABET INC CAP STK CL C 6M 44K –
AMAZON COM INC COM 11M 87K –
AMERICAN ELEC PWR CO INC COM 554K 7K –
AMERICAN EXPRESS CO COM 2M 11K –
AMERICAN TOWER CORP NEW COM 428K 3K –
AMERIPRISE FINL INC COM 621K 2K –
AMETEK INC COM 405K 3K –
AMGEN INC COM 2M 8K –
ANALOG DEVICES INC COM 434K 2K –
APPLE INC COM 33M 196K –
APPLIED MATLS INC COM 394K 3K –
APTARGROUP INC COM 290K 2K –
APTIV PLC SHS 248K 3K –
ASML HOLDING N V N Y REGISTRY SHS 673K 1K –
ASTRAZENECA PLC SPONSORED ADR 222K 3K –
AT&T INC COM 775K 52K –
ATMOS ENERGY CORP COM 249K 2K –
AUTOMATIC DATA PROCESSING IN COM 7M 29K –
AVERY DENNISON CORP COM 257K 1K –
BANK AMERICA CORP COM 804K 29K –
BANK NEW YORK MELLON CORP COM 272K 6K –
BECTON DICKINSON & CO COM 2M 9K –
BERKSHIRE HATHAWAY INC DEL CL B NEW 8M 23K –
BERKSHIRE HATHAWAY INC DEL CL A 5M 10 –
BHP GROUP LTD SPONSORED ADS 247K 4K –
BIOGEN INC COM 531K 2K –
BLACKROCK INC COM 540K 835 –
BLACKSTONE INC COM 629K 6K –
BOEING CO COM 1M 6K –
BOOKING HOLDINGS INC COM 204K 66 –
BP PLC SPONSORED ADR 1M 28K –
BRISTOL-MYERS SQUIBB CO COM 3M 44K –
BROADCOM INC COM 2M 2K –
BROADRIDGE FINL SOLUTIONS IN COM 743K 4K –
BROWN FORMAN CORP CL B 444K 8K –
BROWN FORMAN CORP CL A 501K 9K –
CANADIAN NATL RY CO COM 5M 43K –
CARRIER GLOBAL CORPORATION COM 237K 4K –
CATERPILLAR INC COM 2M 7K –
CDW CORP COM 211K 1K –
CHEVRON CORP NEW COM 4M 22K –
CHUBB LIMITED COM 2M 11K –
CISCO SYS INC COM 4M 75K –
CLOUDFLARE INC CL A COM 814K 13K –
CME GROUP INC COM 231K 1K –
COCA COLA CO COM 3M 46K –
COLGATE PALMOLIVE CO COM 1M 16K –
COMCAST CORP NEW CL A 1M 23K –
CONOCOPHILLIPS COM 452K 4K –
CORTEVA INC COM 206K 4K –
COSTCO WHSL CORP NEW COM 1M 2K –
CUMMINS INC COM 573K 3K –
CVS HEALTH CORP COM 1M 15K –
DANAHER CORPORATION COM 1M 4K –
DARDEN RESTAURANTS INC COM 284K 2K –
DEERE & CO COM 2M 6K –
DELL TECHNOLOGIES INC CL C 379K 6K –
DIMENSIONAL ETF TRUST US CORE EQUITY 2 397K 15K –
DISNEY WALT CO COM 1M 16K –
DOCUSIGN INC COM 855K 20K –
DOMINOS PIZZA INC COM 232K 613 –
DOORDASH INC CL A 582K 7K –
DOVER CORP COM 587K 4K –
DOW INC COM 240K 5K –
DUKE ENERGY CORP NEW COM NEW 572K 6K –
DUPONT DE NEMOURS INC COM 296K 4K –
EATON CORP PLC SHS 405K 2K –
ELI LILLY & CO COM 2M 5K –
EMERSON ELEC CO COM 675K 7K –
ENERGY TRANSFER L P COM UT LTD PTN 264K 19K –
ENTERPRISE PRODS PARTNERS L COM 436K 16K –
EOG RES INC COM 300K 2K –
EXXON MOBIL CORP COM 13M 109K –
FIDELITY COVINGTON TRUST FIDELITY REL EST 371K 20K –
FISERV INC COM 253K 2K –
FORTINET INC COM 1M 19K –
GE HEALTHCARE TECHNOLOGIES I COMMON STOCK 313K 5K –
GENERAL DYNAMICS CORP COM 1M 5K –
GENERAL ELECTRIC CO COM NEW 2M 20K –
GENERAL MLS INC COM 2M 27K –
GILEAD SCIENCES INC COM 204K 3K –
GOLDMAN SACHS GROUP INC COM 2M 5K –
HERSHEY CO COM 1M 6K –
HOME DEPOT INC COM 7M 24K –
HONEYWELL INTL INC COM 2M 10K –
IAMGOLD CORP COM 45K 21K –
IDEXX LABS INC COM 2M 5K –
ILLINOIS TOOL WKS INC COM 2M 9K –
ILLUMINA INC COM 211K 2K –
INTEL CORP COM 2M 53K –
INTERCONTINENTAL EXCHANGE IN COM 303K 3K –
INTERNATIONAL BUSINESS MACHS COM 5M 39K –
INTUIT COM 1M 3K –
INTUITIVE SURGICAL INC COM NEW 343K 1K –
INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 469K 3K –
INVESCO QQQ TR UNIT SER 1 628K 2K –
ISHARES INC CORE MSCI EMKT 442K 9K –
ISHARES TR CORE S&P MCP ETF 1M 6K –
ISHARES TR CORE S&P SCP ETF 9M 95K –
ISHARES TR S&P 500 VAL ETF 867K 6K –
ISHARES TR CORE S&P500 ETF 22M 51K –
ISHARES TR S&P 500 GRWT ETF 958K 14K –
ISHARES TR RUS 1000 ETF 1M 5K –
ISHARES TR RUS 1000 VAL ETF 1M 9K –
ISHARES TR RUS 1000 GRW ETF 4M 15K –
ISHARES TR RUSSELL 2000 ETF 630K 4K –
ISHARES TR MSCI EAFE ETF 5M 73K –
ISHARES TR RUS MID CAP ETF 2M 36K –
ISHARES TR RUS MD CP GR ETF 455K 5K –
ISHARES TR GLOBAL TECH ETF 352K 6K –
ISHARES TR U.S. FINLS ETF 291K 4K –
ISHARES TR US HLTHCARE ETF 263K 975 –
ISHARES TR U.S. TECH ETF 620K 6K –
ISHARES TR EXPND TEC SC ETF 769K 2K –
ISHARES TR IBOXX INV CP ETF 2M 19K –
ISHARES TR MSCI AC ASIA ETF 212K 3K –
ISHARES TR US AER DEF ETF 206K 2K –
ISHARES TR NATIONAL MUN ETF 537K 5K –
ISHARES TR EAFE SML CP ETF 960K 17K –
ISHARES TR MSCI ACWI ETF 787K 9K –
ISHARES TR CORE MSCI EAFE 397K 6K –
ISHARES TR CORE DIV GRWTH 612K 12K –
ISHARES U S ETF TR BLACKROCK ST MAT 418K 8K –
J P MORGAN EXCHANGE TRADED F ULTRA SHT MUNCPL 568K 11K –
JOHNSON & JOHNSON COM 10M 61K –
JPMORGAN CHASE & CO COM 10M 67K –
KIMBERLY-CLARK CORP COM 2M 16K –
LABORATORY CORP AMER HLDGS COM NEW 337K 2K –
LINDE PLC SHS 2M 4K –
LITTELFUSE INC COM 325K 1K –
LOCKHEED MARTIN CORP COM 853K 2K –
LOWES COS INC COM 2M 12K –
MARSH & MCLENNAN COS INC COM 212K 1K –
MASTERCARD INCORPORATED CL A 3M 7K –
MCDONALDS CORP COM 4M 14K –
MEDTRONIC PLC SHS 565K 7K –
MERCK & CO INC COM 4M 39K –
META PLATFORMS INC CL A 4M 13K –
MICROCHIP TECHNOLOGY INC. COM 317K 4K –
MICROSOFT CORP COM 33M 104K –
MODERNA INC COM 368K 4K –
MONDELEZ INTL INC CL A 591K 9K –
MOODYS CORP COM 840K 3K –
MORGAN STANLEY COM NEW 390K 5K –
NEKTAR THERAPEUTICS COM 7K 12K –
NEXTERA ENERGY INC COM 5M 92K –
NIKE INC CL B 769K 8K –
NORFOLK SOUTHN CORP COM 987K 5K –
NORTHERN TR CORP COM 1M 19K –
NORTHROP GRUMMAN CORP COM 276K 628 –
NOVARTIS AG SPONSORED ADR 325K 3K –
NOVO-NORDISK A S ADR 737K 8K –
NUSHARES ETF TR NUVEEN ESG LRGVL 6M 174K –
NVIDIA CORPORATION COM 2M 5K –
OLD NATL BANCORP IND COM 267K 18K –
ONEOK INC NEW COM 432K 7K –
ORACLE CORP COM 4M 35K –
PALO ALTO NETWORKS INC COM 357K 2K –
PAYCHEX INC COM 426K 4K –
PAYPAL HLDGS INC COM 249K 4K –
PEPSICO INC COM 7M 44K –
PFIZER INC COM 7M 201K –
PHILIP MORRIS INTL INC COM 564K 6K –
PROCTER AND GAMBLE CO COM 10M 67K –
PROLOGIS INC. COM 608K 5K –
QUALCOMM INC COM 1M 12K –
REGENERON PHARMACEUTICALS COM 326K 396 –
REPUBLIC SVCS INC COM 383K 3K –
ROCKWELL AUTOMATION INC COM 576K 2K –
ROPER TECHNOLOGIES INC COM 2M 5K –
RPT REALTY 7.25 PFD D CONV 526K 10K –
RTX CORPORATION COM 794K 11K –
S&P GLOBAL INC COM 979K 3K –
SALESFORCE INC COM 758K 4K –
SCHWAB CHARLES CORP COM 369K 7K –
SCHWAB STRATEGIC TR US DIVIDEND EQ 432K 6K –
SELECT SECTOR SPDR TR FINANCIAL 441K 13K –
SELECT SECTOR SPDR TR TECHNOLOGY 1M 7K –
SELECT SECTOR SPDR TR SBI HEALTHCARE 320K 2K –
SELECT SECTOR SPDR TR SBI CONS DISCR 688K 4K –
SELECT SECTOR SPDR TR COMMUNICATION 365K 6K –
SHELL PLC SPON ADS 438K 7K –
SHERWIN WILLIAMS CO COM 576K 2K –
SPDR GOLD TR GOLD SHS 4M 25K –
SPDR INDEX SHS FDS PORTFOLIO DEVLPD 2M 51K –
SPDR S&P 500 ETF TR TR UNIT 5M 11K –
SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 246K 538 –
SPDR SER TR BLOOMBERG 1-3 MO 442K 5K –
STARBUCKS CORP COM 704K 8K –
STRYKER CORPORATION COM 327K 1K –
TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 529K 6K –
TARGET CORP COM 284K 3K –
TECHTARGET INC COM 622K 20K –
TESLA INC COM 927K 4K –
TEXAS INSTRS INC COM 2M 12K –
TEXAS PACIFIC LAND CORPORATI COM 2M 1K –
THE CIGNA GROUP COM 445K 2K –
THERMO FISHER SCIENTIFIC INC COM 1M 2K –
TJX COS INC NEW COM 2M 27K –
TRAVELERS COMPANIES INC COM 280K 2K –
ULTA BEAUTY INC COM 260K 650 –
UNION PAC CORP COM 2M 12K –
UNITED PARCEL SERVICE INC CL B 519K 3K –
UNITED RENTALS INC COM 324K 728 –
UNITEDHEALTH GROUP INC COM 961K 2K –
US BANCORP DEL COM NEW 372K 11K –
VALERO ENERGY CORP COM 271K 2K –
VANECK ETF TRUST NATURAL RESOURC 609K 12K –
VANGUARD BD INDEX FDS TOTAL BND MRKT 2M 34K –
VANGUARD INDEX FDS TOTAL STK MKT 22M 104K –
VANGUARD INDEX FDS VALUE ETF 2M 16K –
VANGUARD INDEX FDS MID CAP ETF 354K 2K –
VANGUARD INDEX FDS SM CP VAL ETF 272K 2K –
VANGUARD INDEX FDS REAL ESTATE ETF 404K 5K –
VANGUARD INDEX FDS SMALL CP ETF 1M 8K –
VANGUARD INDEX FDS GROWTH ETF 9M 34K –
VANGUARD INDEX FDS S&P 500 ETF SHS 9M 22K –
VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 4M 104K –
VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 586K 11K –
VANGUARD INTL EQUITY INDEX F FTSE SMCAP ETF 915K 9K –
VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 3M 27K –
VANGUARD SCOTTSDALE FDS INT-TERM CORP 381K 5K –
VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 247K 3K –
VANGUARD SPECIALIZED FUNDS DIV APP ETF 2M 13K –
VANGUARD STAR FDS VG TL INTL STK F 4M 67K –
VANGUARD TAX-MANAGED FDS VAN FTSE DEV MKT 2M 56K –
VANGUARD WHITEHALL FDS HIGH DIV YLD 2M 18K –
VANGUARD WORLD FD MEGA GRWTH IND 301K 1K –
VANGUARD WORLD FD MEGA CAP VAL ETF 262K 3K –
VANGUARD WORLD FDS MATERIALS ETF 277K 2K –
VERIZON COMMUNICATIONS INC COM 771K 24K –
VERTEX PHARMACEUTICALS INC COM 951K 3K –
VISA INC COM CL A 2M 9K –
WALMART INC COM 3M 17K –
WEC ENERGY GROUP INC COM 286K 4K –
WILLIAMS COS INC COM 447K 13K –
YUM BRANDS INC COM 304K 2K –
ZIMMER BIOMET HOLDINGS INC COM 347K 3K –
ZOETIS INC CL A 343K 2K –