Stephen A Frederick
Financial advisor at Moors & Cabot, Inc. · Alexandria, VA
Last updated 2026-10-10
Claim your profileStephen A Frederick is a financial advisor at Moors & Cabot, Inc. in Alexandria, VA, CRD 4362584. Licenses and exams on the registration: Series 66, Series 65. First registered 2016-10-31.
Registration
- CRD number
- 4362584
- Registration status
- Active
- First registered
- 2016-10-31
- Years of experience
- 25
- States registered
- VA
Licenses and exams
- Series 66
- Series 65
Work history
- 2001-01 to Present · Moors & Cabot, Inc. · Alexandria, VA
Current employment
- Moors & Cabot, Inc. · Boston, MA
Moors & Cabot, Inc.
- Regulatory AUM
- $4,034,068,345
- Registered advisors
- 82
- Offices
- 36
- Clients per advisor
- 61.9 (Moderate)
- Average AUM per client
- $795K (Low)
- High-net-worth client ratio
- 37.2% (Moderate)
Moors & Cabot, Inc.: advisors, services and reported ETF investments
Reported ETF positions
Moors & Cabot reports 275 ETF positions worth $446.5M on Form 13F; the largest are listed.
| Fund | Reported value |
|---|---|
| SPY — SPDR S&P 500 ETF TRUST | $21.3M |
| EMXC — iShares MSCI Emerging Markets ex China ETF | $21M |
| QQQ — Invesco QQQ Trust, Series 1 | $19.6M |
| IVV — iShares Core S&P 500 ETF | $15.3M |
| GBTC — Grayscale Bitcoin Trust (BTC) | $13.8M |
Source: SEC Form 13F. These are institution-level reported positions; they do not establish that any individual advisor or their clients hold a fund.
Noteworthy reported investments
Moors & Cabot's strongest reported position on each research ranking. Institution-level evidence, not this advisor's or any client's holding.
| Ranking | Fund | Reported value | Percentile | Key figures |
|---|---|---|---|---|
| Similar Fund Ranking | CGDV — Capital Group Dividend Value ETF | $929.4K | Top 99.9% | Peer conviction 86.4% · Active return +5.44% |
| Addressable Market | DYNF — iShares U.S. Equity Factor Rotation Active ETF | $758.6K | Top 99.9% | Addressable AUM $14.9T · Peer conviction 86.8% |
| Residual Alpha | VCIT — Vanguard Intermediate-Term Corporate Bond ETF | $2M | Top 99.0% | Residual alpha +0.70% · Residual Sharpe 0.11 |
| Diversification Benefits | TBIL — F/m US Treasury 3 Month Bill Fund | $792.9K | Top 99.4% | Replicability (R²) 37.1% · Residual Sharpe 2.51 |
Historical comparisons from the published research release formed 2026-10-02; not forecasts or recommendations. Source: SEC Form 13F. These are institution-level reported positions; they do not establish that any individual advisor or their clients hold a fund.
What this firm offers
Filed by Moors & Cabot, Inc. on Form ADV.
Client services
- Financial Planning Services
- Individuals and Small Businesses
- Businesses or Institutional Clients
- Pension Consulting Services
- Selection of Other Advisers
Fee options
- Percentage of Assets Under Management
- Hourly Charges
- Fixed Fees (Other Than Subscription)
- Commissions
Business and affiliations
- Broker-Dealer (Registered or Unregistered)
- Insurance Broker or Agent
- Registered Municipal Advisor
- Sells Non-Advisory Products or Services
- Broker-Dealer or Municipal Securities Dea
- Other Investment Adviser (Incl. Financial
- Registered Municipal Advisor
- Insurance Company or Agency
Location
1800 Diagonal Road, Alexandria, VA 22314
5 advisors at this office.
Contact
The firm's filed contact details.
- Phone: 800-426-0501
- Website: jcgwealth.com
Official record
Are you Stephen A Frederick?
Claim your profile to add your biography, services, expertise, client focus, investment approach and fees. Advisor-confirmed information is separate from public SEC records.