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Commonwealth Equity Services

Commonwealth Equity Services is an investment advisor in Waltham with $133.52B assets under management.

Company profile

Employees
Incorporated
Location
Fiscal year end
Former names
Commonwealth Equity Services Inc, Commonwealth Equity Services, Inc., Commonwealth Equity Services, LLC., Commonwealth Equity Services, LLP
SEC CIK
IRS number
42675571
SEC advisor number
801-41541
FINRA CRD number
8032
AUM ?
$133.52B (as of 30 Sep 21)
Accounts
480,086 (as of 30 Sep 21)
Employees
3,500 (2600 investment advisory or research)
Address
Commonwealth Equity Services
29 SAWYER ROAD
WALTHAM
MA 02453-3483
Office hours
Monday - Friday, 8:30A.M. TO 5:30P.M.
Phone
781-736-0700
Owner Title From %Ownership
Hunter, Richard Marcus President Emeritus 05/2013 < 5%
Deitch, Joseph Samuel Chairman 07/1996 < 5%
Rooney, John James Managing Principal 09/1988 < 5%
Bloom, Wayne Michael Chief Executive Officer 01/2009 < 5%
Kelly, David Linus Managing Principal, Trading and Brokerage Operations 01/1999 < 5%
Tolley, Paul Jonathan Managing Principal, Chief Compliance Officer 08/2006 < 5%
Mcmillan, William Bradford Managing Principal, Chief Investment Officer 02/2009 < 5%
Wheeler, Peter Tompkins Vice Chairman 05/2013 < 5%
Bohs, Jonathan Christiaan Senior Vice President, Brokerage Operations 05/2013 < 5%
Kloman, Christopher Anthony Trapnell Chief Operations Officer, President 07/2015 < 5%
1979 Holding Company, LLC Shareholder 08/2017 > 75%
CFN Ventures, LLC Shareholder 08/2017 > 75%
CFN Holding Company, LLC Shareholder 08/2017 > 75%
Matthew Fletcher Deitch 2010 Family Gift Trust - Joseph S. Deitch, Trustee Shareholder 08/2017 25-50%
Deitch, Joseph Samuel Trustee 08/2017
Level Above, LLC Shareholder 11/2018 > 75%
Gratitude Holdings, Inc. Shareholder 11/2018 > 75%
Ho, Peggy Lynn General Counsel, Senior Vice President 04/2021 < 5%
Birke, Kol NMN Managing Principal, Technology and Corporate Strategy 04/2019 < 5%
Cleasby, Jonathan C. Chief Financial Officer 06/2020 < 5%
Hansen, Alexander William SVP, Ria Compliance 09/2021 < 5%

Investment data

Data from SEC filings
Regulatory AUM / Assets Under Management
Number of accounts
Number of employees
Top 50 of 3502 long holdings
End of quarter 30 Sep 21
Value
 
#Shares
 
$1.71B 12.11M
$838M 2.97M
$705.22M 1.64M
$673.9M 1.88M
$666.25M 202.81K
Vanguard Tax-managed Intl FD
$640.27M 12.68M
$634.21M 1.48M
$520.23M 1.9M
$471.58M 2.12M
$381.21M 1.4M
$353.16M 1.22M
Vanguard Specialized Funds
$324.56M 2.11M
$323.05M 819.09K
$322.45M 2.06M
$305.35M 2.8M
$301.36M 6M
$276.61M 1.71M
$274.07M 2.45M
$268.94M 1.99M
$262.35M 98.13K
Vanguard Intl Equity Index F (FTSE EMR MKT ETF)
$256.13M 5.12M
$251.6M 2.22M
$247.54M 3.37M
$245.4M 1.18M
$235.2M 1.44M
$232.06M 87.07K
$218.63M 1.56M
$215.53M 3.99M
$211.13M 643.19K
$203.34M 772.97K
$195.97M 252.71K
$192.33M 566.69K
$190.64M 805.19K
$187.77M 3.44M
$182.66M 1.57M
$181.55M 815.02K
$180.56M 4.2M
$179.88M 2.29M
First TR Value Line Divid In
$177.23M 4.52M
$177.21M 1.05M
$175.11M 2.37M
$173.51M 1.76M
$173.18M 791.97K
$172.33M 1.08M
$161.49M 1.46M
$158.24M 1.38M
$157.97M 961.93K
Vanguard Intl Equity Index F (FTSE SMCAP ETF)
$156.45M 1.17M
$155.78M 2.1M
$150.88M 1.01M
Holdings list only includes long positions. Only includes long positions.

Calendar

8 Dec 21
31 Dec 21

Financial reports

No filings

Current reports

No filings

Registration and prospectus

No filings

Proxies

No filings

Other

No filings