Moors & Cabot, Inc.

Moors & Cabot provides investment advisory and related services to a broad range of clients, including individual and high‑net‑worth investors, corporations, pension and profit‑sharing plans, trusts, estates, and charitable organizations. Services described in the brochure include discretionary and non‑discretionary portfolio management through its Portfolio Management Program (PMP), wrap‑fee and third‑party managed account referrals, fee‑based financial planning, and limited consulting engagements.

The firm’s advisors draw on a mix of analytic approaches — including fundamental, technical, quantitative, and asset‑allocation methods — and may use third‑party sub‑advisors and sponsored wrap programs to implement client strategies. Accounts are typically custodied and cleared through RBC Capital Markets, advisors may aggregate household assets for fee breakpoints, and Moors & Cabot offers an “advice‑only” option for held‑away assets where it provides recommendations but does not execute trades.

A number of features in the brochure distinguish the firm from many large peers: it advises in municipal securities, operates as a dual‑registrant (SEC investment adviser and broker‑dealer) and an insurance agency, and therefore may receive commissions or insurance compensation outside of wrap programs. The brochure discloses material connections to its clearing firm — including transition assistance, incentive and forgivable payments and ongoing revenue sharing tied to RBC’s cash sweep program — and notes a 2023 SEC enforcement action addressing prior disclosures of related conflicts.