RIA Intelligence

HEAD AND ASSOCIATES, INC

CRD #106359 SEC #801-34904 PORTLAND, ME 207-773-5333
SEC Registered
Total AUM
$352.9M
Discretionary
$324.8M
Employees
10
Clients
0
Accounts
394

Firm Details

Organization Type
Corporation
State of Formation
--
Fiscal Year End
DECEMBER
Registration Date
--
Latest Filing
Mar 28, 2002
Branch Offices
--

Advisory Services

No services reported

Compensation Methods

No compensation methods reported

Ownership

Direct Owners & Executive Officers (Schedule A)

NameTypeTitle / StatusOwnershipControl
MOGAVERO, JENNIFER, SKIFFINGTONICHIEF COMPLIANCE OFFICERNA Control
HEAD, DONALD, LAMBINGIPRESIDENTD Control
HEAD, DONALD, LAMBINGIPRESIDENTD Control
HEAD, DONALD, LAMBINGIPRESIDENTD Control
WILLAUER, WILLIAM, BRADFORDIVICE PRESIDENTC Control
WILLAUER, WILLIAM, BRADFORDIVICE PRESIDENTC Control
WILLAUER, WILLIAM, BRADFORDIVICE PRESIDENTC Control

Registrations

Federal

IA
Mar 28, 2002 REGISTERED

Notice Filings (8)

CT FL MA ME NH NY TX VT

Address

121 MIDDLE STREET
PORTLAND, ME 4101
USA
Phone: 207-773-5333