Audrey Daum is a registered investment advisor at Moors & Cabot, INC, based in Boston, MA, with 36 years of industry experience. Their practice areas include Education Planning, Estate Planning, Insurance Planning, Investment Management, and 2 more. Their firm serves 5,074 clients with $3.4B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Moors & Cabot charges an annual fee based on a percentage of your portfolio, billed quarterly. The exact percentage is negotiable and depends on factors like account size and complexity. The minimum fee rate is 0.5% and the maximum is 1.5%, unless approved by senior management. Moors & Cabot may aggregate multiple accounts to determine fee breakpoints. They also offer an "Advice Only" service for assets held elsewhere, billed quarterly in advance.
Location
One Federal Street, 19th Floor, Boston, MA, 02110
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Audrey is a board member of the MIT Sloan Alumni Association of Boston, a non-compensated role. She is also the author of a children's book, "The Little Floof's Book of Money", spending a few hours per week on this activity.
Employment History
Current Registrations
Moors & Cabot, INC
Moors & Cabot, INC.Broker
Previous Registrations
Oppenheimer & CO. INC.
Oppenheimer & CO. INC.Broker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Citicorp Securities, INC.Broker
State Registrations21 states
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