Pfe Advisors, Inc. (Southborough)

Name: Pfe Advisors, Inc.
Address: 153 Cordaville Road, Southborough, MA, 01772
Telephone: 508-683-1400

Pfe Advisors, Inc. is a pension cosultant based in Southborough. It manages $6.36 million of regulatory assets for 4 client accounts. It has been registered with the SEC as an adviser since 2007 and has operated in the jurisdictions of California, District of Columbia, Maryland, Massachusetts, and Virginia.

Pfe Advisors provides pension consulting services, selection of other advisers, educational seminars and workshops, and sub-adviser pension consulting services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Pfe Advisors: assets under management

The assets under management (AUM) of Pfe Advisors, Inc. is $6.36 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 139% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $6.36 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.59 million each.

Investments

The firm invests in investment and business development companies the most. They account for 100% of the total AUM.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Pfe Advisors, Inc. for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Hourly charges are usually charged for consulting work and special projects. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Patrick Matthew Bommarito serves?

The only and largest group of clients of Patrick Matthew Bommarito is pension and profit sharing plans with 123 clients and $6.36 million of assets under management. Among the 3 most similar advisory firms, Pfe Advisors has the highest percentage of pension and profit sharing plans out of all clients.

The amount of regulatory assets under management is $6.36 million for 123 clients. None of the firm’s clients are foreign persons or businesses.

Pfe Advisors doesn't advise any private funds.

Careers at Pfe Advisors, Inc.

The company employs 23 people that are either part- or full-time employees. 43 percent of the employees work as investment advisers or researchers. 10 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees receive compensation from other entities for client referrals.

Patrick Matthew Bommarito has been acting as President since 1 Sep 2007. Joseph John Duran joined the executive team most recently as the Managing Director, Chief Executive Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Inc. United Capital Financial Partners	Sole shareholder	1 Aug 2007	75% - 100%	16-1711406
Joseph John Thomas Duran	Director, ceo	1 Aug 2007	Other	2328861
Gary Lawrence Roth	Director, cfo	1 Aug 2007	Other	5021897
Joseph John Duran	Director, chief executive officer	1 Aug 2007	Other	2328861
Caryn Lee Westman	Chief compliance officer / corporate secy	1 Aug 2007	Other	1225435
Wayne Gregory Bogosian	Director, president	1 Sep 2007	Other	2572112
Patrick Matthew Bommarito	Director	1 Sep 2007	Other	1804596
Michael Anson Herman	Chief compliance officer	1 Oct 2008	Other	2787565
Kristina Cheh Beck	General counsel and corporate secreary	1 Sep 2015	Other	5948831
Jon Colin Frojen	Chief financial officer and treasurer	1 Jan 2016	Other	5870546
Gary Lawrence Roth	Director, executive vice president / general manager	1 Feb 2016	Other	5021897
Gary Lawrence Roth	Chief business officer	1 Jan 2017	Other	5021897
Kristina Cheh Beck	Chief legal officer & corporate secretary	1 Jan 2017	Other	5948831
Joseph John Duran	Managing director, chief executive officer	1 Jul 2019	Other	2328861
Gary Lawrence Roth	Managing director	1 Jul 2019	Other	5021897
Wayne Gregory Bogosian	Vice president, president	1 Jul 2019	Other	2572112
Jon Colin Frojen	Managing director, chief financial officer & treasurer	1 Jul 2019	Other	5870546
Natasha Irina Pfeiffer	Counsel	1 Jul 2019	Other	7157189

Indirect Owners

The SEC currently registers 2 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Llc Imd Holdings	Sole member and manager	1 Jul 2019	75% - 100%	13-4019460
Inc. The Goldman Sachs Group	Sole member and manager	1 Jul 2019	75% - 100%	13-4019460

Based in Southborough

The principal office where Pfe Advisors, Inc. performs its advisory services is located at 153 Cordaville Road, Southborough, MA 01772, which is also the mailing address of the firm. An additional office of the firm is in Hunt Valley, MD. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 508-683-1400 or by fax 508-683-1401. The normal business hours are 9:00 am-5:00 pm on Monday - Friday. You can find more information about the New York firm at pfegroup.com.