PFE ADVISORS, INC.
CRD #144798 SEC #801-68292 SOUTHBOROUGH, MA 508-683-1400
SEC Registered
Total AUM
$16.6M
Discretionary
$16.6M
Employees
19
Clients
0
Accounts
6
Firm Details
- Organization Type
- Corporation
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 31, 2021
- Branch Offices
- 2
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| BECK, KRISTINA, CHEH | I | GENERAL COUNSEL AND CORPORATE SECREARY | NA | Control |
| BECK, KRISTINA, CHEH | I | CHIEF LEGAL OFFICER & CORPORATE SECRETARY | NA | Control |
| BECK, KRISTINA, CHEH | I | CHIEF LEGAL OFFICER & CORPORATE SECRETARY | NA | Control |
| BECK, KRISTINA, CHEH | I | CHIEF LEGAL OFFICER & CORPORATE SECRETARY | NA | Control |
| BOGOSIAN, WAYNE, GREGORY | I | DIRECTOR, PRESIDENT | NA | Control |
| BOGOSIAN, WAYNE, GREGORY | I | DIRECTOR, PRESIDENT | NA | Control |
| BOGOSIAN, WAYNE, GREGORY | I | DIRECTOR, PRESIDENT | NA | Control |
| BOGOSIAN, WAYNE, GREGORY | I | PRESIDENT | NA | Control |
| BOGOSIAN, WAYNE, GREGORY | I | DIRECTOR, PRESIDENT | NA | Control |
| BOGOSIAN, WAYNE, GREGORY | I | DIRECTOR, PRESIDENT | NA | Control |
| BOGOSIAN, WAYNE, GREGORY | I | DIRECTOR, PRESIDENT | NA | Control |
| BOGOSIAN, WAYNE, GREGORY | I | DIRECTOR, PRESIDENT | NA | Control |
| BOGOSIAN, WAYNE, GREGORY | I | DIRECTOR, PRESIDENT | NA | Control |
| BOGOSIAN, WAYNE, GREGORY | I | DIRECTOR, PRESIDENT | NA | Control |
| BOGOSIAN, WAYNE, GREGORY | I | DIRECTOR, PRESIDENT | NA | Control |
| BOGOSIAN, WAYNE, GREGORY | I | DIRECTOR, PRESIDENT | NA | Control |
| BOGOSIAN, WAYNE, GREGORY | I | DIRECTOR, PRESIDENT | NA | Control |
| BOGOSIAN, WAYNE, GREGORY | I | DIRECTOR, PRESIDENT | NA | Control |
| BOGOSIAN, WAYNE, GREGORY | I | DIRECTOR, PRESIDENT | NA | Control |
| BOGOSIAN, WAYNE, GREGORY | I | DIRECTOR, PRESIDENT | NA | Control |
| BOGOSIAN, WAYNE, GREGORY | I | DIRECTOR, PRESIDENT | NA | Control |
| BOGOSIAN, WAYNE, GREGORY | I | DIRECTOR, PRESIDENT | NA | Control |
| BOGOSIAN, WAYNE, GREGORY | I | VICE PRESIDENT, PRESIDENT | NA | Control |
| BOMMARITO, PATRICK, MATTHEW | I | DIRECTOR | NA | Control |
| BOMMARITO, PATRICK, MATTHEW | I | DIRECTOR | NA | Control |
| BOMMARITO, PATRICK, MATTHEW | I | DIRECTOR | NA | Control |
| BRUNETTE, STEPHEN, JOSEPH | I | CHIEF INVESTMENT OFFICER | NA | |
| DURAN, JOSEPH, JOHN | I | DIRECTOR, CHIEF EXECUTIVE OFFICER | NA | Control |
| DURAN, JOSEPH, JOHN | I | DIRECTOR, CHIEF EXECUTIVE OFFICER | NA | Control |
| DURAN, JOSEPH, JOHN | I | DIRECTOR, CHIEF EXECUTIVE OFFICER | NA | Control |
| DURAN, JOSEPH, JOHN | I | MANAGING DIRECTOR, CHIEF EXECUTIVE OFFICER | NA | Control |
| DURAN, JOSEPH, JOHN | I | MANAGING DIRECTOR, CHIEF EXECUTIVE OFFICER | NA | Control |
| DURAN, JOSEPH, JOHN | I | MANAGING DIRECTOR, CHIEF EXECUTIVE OFFICER | NA | Control |
| DURAN, JOSEPH, JOHN | I | MANAGING DIRECTOR, CHIEF EXECUTIVE OFFICER | NA | Control |
| DURAN, JOSEPH, JOHN | I | MANAGING DIRECTOR, CHIEF EXECUTIVE OFFICER | NA | Control |
| DURAN, JOSEPH, JOHN | I | MANAGING DIRECTOR, CHIEF EXECUTIVE OFFICER | NA | Control |
| DURAN, JOSEPH, JOHN | I | MANAGING DIRECTOR, CHIEF EXECUTIVE OFFICER | NA | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | DIRECTOR, CEO | NA | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | DIRECTOR, CEO | NA | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | DIRECTOR, CEO | NA | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | DIRECTOR, CEO/PRESIDENT | NA | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | DIRECTOR, CEO/PRESIDENT | NA | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | DIRECTOR, CEO | NA | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | DIRECTOR, CEO | NA | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | DIRECTOR, CEO | NA | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | DIRECTOR, CEO | NA | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | DIRECTOR, CEO | NA | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | DIRECTOR, CEO | NA | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | DIRECTOR, CEO | NA | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | DIRECTOR, CEO | NA | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | DIRECTOR, CEO | NA | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | DIRECTOR, CEO | NA | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | DIRECTOR, CEO | NA | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | DIRECTOR, CEO | NA | Control |
| FROJEN, JON, COLIN | I | CHIEF FINANCIAL OFFICER AND TREASURER | NA | Control |
| FROJEN, JON, COLIN | I | CHIEF FINANCIAL OFFICER AND TREASURER | NA | Control |
| FROJEN, JON, COLIN | I | CHIEF FINANCIAL OFFICER AND TREASURER | NA | Control |
| FROJEN, JON, COLIN | I | CHIEF FINANCIAL OFFICER AND TREASURER | NA | Control |
| FROJEN, JON, COLIN | I | MANAGING DIRECTOR, CHIEF FINANCIAL OFFICER & TREASURER | NA | Control |
| FROJEN, JON, COLIN | I | MANAGING DIRECTOR, CHIEF FINANCIAL OFFICER & TREASURER | NA | Control |
| FROJEN, JON, COLIN | I | MANAGING DIRECTOR, CHIEF FINANCIAL OFFICER & TREASURER | NA | Control |
| FROJEN, JON, COLIN | I | MANAGING DIRECTOR, CHIEF FINANCIAL OFFICER & TREASURER | NA | Control |
| FROJEN, JON, COLIN | I | MANAGING DIRECTOR, CHIEF FINANCIAL OFFICER & TREASURER | NA | Control |
| FROJEN, JON, COLIN | I | MANAGING DIRECTOR, CHIEF FINANCIAL OFFICER & TREASURER | NA | Control |
| HERMAN, MICHAEL, ANSON | I | CHIEF COMPLIANCE OFFICER | NA | |
| HERMAN, MICHAEL, ANSON | I | CHIEF COMPLIANCE OFFICER | NA | |
| HERMAN, MICHAEL, ANSON | I | CHIEF COMPLIANCE OFFICER | NA | |
| HERMAN, MICHAEL, ANSON | I | CHIEF COMPLIANCE OFFICER | NA | |
| HERMAN, MICHAEL, ANSON | I | CHIEF COMPLIANCE OFFICER | NA | |
| HERMAN, MICHAEL, ANSON | I | CHIEF COMPLIANCE OFFICER | NA | |
| HERMAN, MICHAEL, ANSON | I | CHIEF COMPLIANCE OFFICER | NA | |
| HERMAN, MICHAEL, ANSON | I | CHIEF COMPLIANCE OFFICER | NA | |
| HERMAN, MICHAEL, ANSON | I | CHIEF COMPLIANCE OFFICER | NA | |
| HERMAN, MICHAEL, ANSON | I | CHIEF COMPLIANCE OFFICER | NA | |
| HERMAN, MICHAEL, ANSON | I | CHIEF COMPLIANCE OFFICER | NA | |
| HERMAN, MICHAEL, ANSON | I | CHIEF COMPLIANCE OFFICER | NA | |
| HERMAN, MICHAEL, ANSON | I | CHIEF COMPLIANCE OFFICER | NA | |
| HERMAN, MICHAEL, ANSON | I | CHIEF COMPLIANCE OFFICER | NA | |
| HERMAN, MICHAEL, ANSON | I | CHIEF COMPLIANCE OFFICER | NA | |
| HERMAN, MICHAEL, ANSON | I | CHIEF COMPLIANCE OFFICER | NA | |
| PFEIFFER, NATASHA, IRINA | I | COUNSEL & SECRETARY | NA | Control |
| PFEIFFER, NATASHA, IRINA | I | COUNSEL | NA | Control |
| PFEIFFER, NATASHA, IRINA | I | COUNSEL & SECRETARY | NA | Control |
| PFEIFFER, NATASHA, IRINA | I | COUNSEL & SECRETARY | NA | Control |
| PFEIFFER, NATASHA, IRINA | I | COUNSEL & SECRETARY | NA | Control |
| PFEIFFER, NATASHA, IRINA | I | COUNSEL & SECRETARY | NA | Control |
| PFEIFFER, NATASHA, IRINA | I | COUNSEL & SECRETARY | NA | Control |
| ROTH, GARY, LAWRENCE | I | DIRECTOR, COO/CFO | NA | Control |
| ROTH, GARY, LAWRENCE | I | DIRECTOR, COO/CFO | NA | Control |
| ROTH, GARY, LAWRENCE | I | DIRECTOR, COO/CFO | NA | Control |
| ROTH, GARY, LAWRENCE | I | DIRECTOR, COO/CFO | NA | Control |
| ROTH, GARY, LAWRENCE | I | DIRECTOR, COO/CFO | NA | Control |
| ROTH, GARY, LAWRENCE | I | DIRECTOR, COO/CFO | NA | Control |
| ROTH, GARY, LAWRENCE | I | DIRECTOR, COO/CFO | NA | Control |
| ROTH, GARY, LAWRENCE | I | DIRECTOR, COO/CFO | NA | Control |
| ROTH, GARY, LAWRENCE | I | DIRECTOR, CFO | NA | Control |
| ROTH, GARY, LAWRENCE | I | DIRECTOR, CFO | NA | Control |
| ROTH, GARY, LAWRENCE | I | DIRECTOR, CFO | NA | Control |
| ROTH, GARY, LAWRENCE | I | DIRECTOR, CFO | NA | Control |
| ROTH, GARY, LAWRENCE | I | DIRECTOR, COO/CFO | NA | Control |
| ROTH, GARY, LAWRENCE | I | DIRECTOR, COO/CFO | NA | Control |
| ROTH, GARY, LAWRENCE | I | DIRECTOR, CFO | NA | Control |
| ROTH, GARY, LAWRENCE | I | DIRECTOR, CFO | NA | Control |
| ROTH, GARY, LAWRENCE | I | DIRECTOR, EXECUTIVE VICE PRESIDENT / GENERAL MANAGER | NA | Control |
| ROTH, GARY, LAWRENCE | I | CHIEF BUSINESS OFFICER | NA | Control |
| ROTH, GARY, LAWRENCE | I | CHIEF BUSINESS OFFICER | NA | Control |
| ROTH, GARY, LAWRENCE | I | CHIEF BUSINESS OFFICER | NA | Control |
| ROTH, GARY, LAWRENCE | I | MANAGING DIRECTOR | NA | Control |
| ROTH, GARY, LAWRENCE | I | MANAGING DIRECTOR | NA | Control |
| ROTH, GARY, LAWRENCE | I | MANAGING DIRECTOR | NA | Control |
| ROTH, GARY, LAWRENCE | I | MANAGING DIRECTOR | NA | Control |
| ROTH, GARY, LAWRENCE | I | MANAGING DIRECTOR | NA | Control |
| ROTH, GARY, LAWRENCE | I | MANAGING DIRECTOR | NA | Control |
| ROTH, GARY, LAWRENCE | I | MANAGING DIRECTOR | NA | Control |
| SPENCER, STEVEN | I | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT | NA | |
| SPENCER, STEVEN | I | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT | NA | |
| SPENCER, STEVEN | I | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT | NA | |
| SPENCER, STEVEN | I | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT | NA | |
| SPENCER, STEVEN | I | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | |
| WESTMAN, CARYN, LEE | I | CHIEF COMPLIANCE OFFICER / CORPORATE SECRETARY | NA | Control |
| WESTMAN, CARYN, LEE | I | CORPORATE SECRETARY | NA | Control |
| WESTMAN, CARYN, LEE | I | CHIEF COMPLIANCE OFFICER / CORPORATE SECY | NA | Control |
| WESTMAN, CARYN, LEE | I | CHIEF COMPLIANCE OFFICER / CORPORATE SECY | NA | Control |
| WESTMAN, CARYN, LEE | I | CHIEF COMPLIANCE OFFICER / CORPORATE SECY | NA | Control |
| WESTMAN, CARYN, LEE | I | CHIEF COMPLIANCE OFFICER / CORPORATE SECY | NA | Control |
| WESTMAN, CARYN, LEE | I | CHIEF COMPLIANCE OFFICER / CORPORATE SECY | NA | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | CORPORATION | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | CORPORATION | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | CORPORATION | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE MEMBER AND MANAGER | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE MEMBER AND MANAGER | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE MEMBER AND MANAGER | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE MEMBER AND MANAGER | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE MEMBER AND MANAGER | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE MEMBER AND MANAGER | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE MEMBER AND MANAGER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| IMD HOLDINGS, LLC | DE | UNITED CAPITAL FINANCIAL PARTNERS, INC. | E | Control |
| IMD HOLDINGS, LLC | DE | UNITED CAPITAL FINANCIAL PARTNERS, INC. | E | Control |
| IMD HOLDINGS, LLC | DE | UNITED CAPITAL FINANCIAL PARTNERS, INC. | E | Control |
| IMD HOLDINGS, LLC | DE | UNITED CAPITAL FINANCIAL PARTNERS, INC. | E | Control |
| IMD HOLDINGS, LLC | DE | UNITED CAPITAL FINANCIAL PARTNERS, INC. | E | Control |
| IMD HOLDINGS, LLC | DE | UNITED CAPITAL FINANCIAL PARTNERS, INC. | E | Control |
| IMD HOLDINGS, LLC | DE | UNITED CAPITAL FINANCIAL PARTNERS, INC. | E | Control |
| THE GOLDMAN SACHS GROUP, INC. | DE | IMD HOLDINGS, LLC | E | Control |
| THE GOLDMAN SACHS GROUP, INC. | DE | IMD HOLDINGS, LLC | E | Control |
| THE GOLDMAN SACHS GROUP, INC. | DE | IMD HOLDINGS, LLC | E | Control |
| THE GOLDMAN SACHS GROUP, INC. | DE | IMD HOLDINGS, LLC | E | Control |
| THE GOLDMAN SACHS GROUP, INC. | DE | IMD HOLDINGS, LLC | E | Control |
| THE GOLDMAN SACHS GROUP, INC. | DE | IMD HOLDINGS, LLC | E | Control |
| THE GOLDMAN SACHS GROUP, INC. | DE | IMD HOLDINGS, LLC | E | Control |
Registrations
Federal
IA
Mar 31, 2021 REGISTERED
Notice Filings (6)
CA DC MA MD NH VA
Address
153 CORDAVILLE ROADSUITE 230
SOUTHBOROUGH, MA 01772
United States
Phone: 508-683-1400