Moors & Cabot, Inc

Registered investment adviser · Boston, MA · CRD #594

Form ADV data as of 2026-09-01

Regulatory assets

$3.44 billion

Total accounts

5,074

Employees

121

Disclosure events

Firm details

Website: https://www.linkedin.com/company/moors-&-cabot/
Telephone: 800-426-0501
SEC file number: 801-48726
Most recent Form ADV filing: 2026-07-17
SEC record: View this firm on the SEC's IAPD site

Disciplinary disclosures

This firm reports 6 disclosure questions answered Yes, covering 19 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.

SEC or CFTC found a violation of its regulations or statutes
SEC or CFTC entered an order in connection with investment-related activity
SEC or CFTC imposed a civil money penalty or a cease-and-desist order
Another regulator found a violation of investment-related regulations or statutes
Another regulator entered an order in connection with investment-related activity (past 10 years)
A self-regulatory organization found a violation of its rules

Assets and accounts

Provides continuous and regular supervisory or management services	Yes
Discretionary regulatory assets under management	$3.21 billion
Non-discretionary regulatory assets under management	$230.6 million
Total regulatory assets under management	$3.44 billion
Discretionary accounts	4,480
Non-discretionary accounts	594
Total accounts	5,074
Regulatory assets under management attributable to non-U.S. persons	$9.0 million

People

Total employees (excluding clerical)	121
Employees performing investment advisory functions (including research)	85
Employees who are registered representatives of a broker-dealer	121
Employees registered as investment adviser representatives with a state	85
Employees registered as IARs for another investment adviser	4
Employees who are licensed insurance agents	50
Firms or persons who solicit advisory clients on the firm's behalf	1

Custody

Has custody of client cash or bank accounts	No
Has custody of client securities	Yes
Client funds and securities held in the firm's custody	$13.9 million
Clients for whom the firm has custody	4
A related person has custody of client cash or bank accounts	No
A related person has custody of client securities	No
The firm acts as a qualified custodian	No
A related person acts as a qualified custodian	No
Number of persons acting as qualified custodians for the firm's clients	2

How the firm is compensated

A percentage of assets under managementHourly chargesFixed fees (other than subscription fees)Commissions

Advisory services offered

Financial planning servicesPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)

Other business activities

Broker-dealer (registered or unregistered)Insurance broker or agentRegistered municipal advisor

Affiliated related persons

Broker-dealer, municipal securities dealer, or government securities broker or dealerOther investment adviser (including financial planners)Registered municipal advisorInsurance company or agency

Reported conflicts of interest

Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:

Buys or sells for itself securities it also recommends to clients
Brokers or dealers selected under 8.C.(3) are related persons
Recommends brokers or dealers to clients
Brokers or dealers recommended under 8.E. are related persons
Compensates a non-employee for client referrals

Client types

Type of client	Clients	Assets
Individuals (other than high net worth individuals)	3,032	$916.0 million
High net worth individuals	1,889	$2.24 billion
Pension and profit sharing plans (not the participants or government plans)	65	$30.3 million
Charitable organizations	75	$230.6 million
Corporations or other businesses not listed above	13	$16.0 million