U. S. Boston Capital Corporation
- Regulatory AUM
- $360M
- Discretionary
- $0
- Clients
- 97
- Avg AUM / client
- $3.7M
- Accounts
- 271
- Employees
- 5
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Feb 03, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 62 | $68.0M | 18.9% |
| High net worth individuals | 30 | $279M | 77.6% |
| Pension and profit sharing plans | 5 | $12.8M | 3.55% |
People (7)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Willard Lee Umphrey | Director | CFA | Apr 1970 (56y) | ≈ 56.25% – 100% via U.S. Boston Corporation |
| Leon Okurowski | Vice President, Director And Clerk | Jan 1971 (56y) | Less than 5% | |
| Kessinger, Deborah Anne | Chief Compliance Officer | Nov 2004 (22y) | Less than 5% | |
| Hunt, Diane | Principal Operations Officer | Oct 2018 (8y) | Less than 5% | |
| John Drew Mc Clellan | Registered representative | May 2024 (2y) | ||
| Alina Monisov | Registered representative | May 2026 (0y) | ||
| Caleb Christian Powers | Registered representative | Jun 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| U.S. Boston Corporation | Shareholder | Dec 1971 | A | 75% or more |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Willard Lee Umphrey: 75% – 100% of U.S. Boston Corporation × 75% – 100% direct ≈ 56.25% – 100% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 02/03/2026 | 1.18 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: FAILURE TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH FINRA RULES 2010, 3110 AND 2210 WITH RESPECT TO CONSOLIDATED REPORTS. THE FIRM SENT CONSOLIDATED REPORTS TO ITS CUSTOMERS THAT CONTAINED INACCURATE VALUATIONS OF ILLIQUID PRIVATE PLACEMENTS MANAGED BY AN AFFILIATE. Status: Final Sanction Detail: CENSURE AND FINE OF $125000.00. Summary: THE FIRM ACCEPTS AND CONSENTS, WITHOUT ADMITTING OR DENYING THE FINDINGS, THAT AS A DIRECT RESULT OF MISTAKES WITH RESPECT TO VALUATIONS OF ILLIQUID PRIVATE PLACEMENTS IN REPORTS PROVIDED TO CLIENTS, THE FIRM WAS FOUND TO HAVE VIOLATED FINRA RULES 2010, 2210, 3310. THE FIRM WAS CENSURED, FINED $125,000, AND AGREED TO PROVIDE A CERTIFICATION THAT OUR UPDATED PROCEDURES ARE REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH THE FINRA RULES CITED.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
- • Other services
Custody
Firm reports it does not have custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Feb 03, 2026.
View current Form ADV (SEC/IAPD) ↗