What Cabot Lodge Securities does

Cabot Lodge Securities, LLC is a private, FINRA- and SIPC-registered broker-dealer incorporated in 2013 and headquartered in Schaumburg, Illinois, with New York contact operations. The firm operates an open-architecture investment platform offering both traditional products (stocks, bonds, mutual funds, ETFs, variable annuities) and a range of boutique-style alternative investments including REITs, hedge funds, private equity, green technology, oil and gas programs, equipment leasing, and private placement offerings, with alternative investments marketed primarily to accredited and individual investors rather than solely to high-net-worth clients. Through its wholly-owned registered investment advisor subsidiary, CL Wealth Management (CLWM), the firm layers individualized portfolio management and separately managed accounts on top of the broker-dealer offering.

The firm monetizes primarily through transaction-based commissions on securities and alternative investment product placement, supplemented by recurring advisory fees generated through CLWM. Order execution is routed via channel partnerships with Royal Bank of Canada (RBC) and Raymond James, providing institutional trade execution and settlement infrastructure. Distribution is conducted through a direct, advisor-led sales model with proactive client communication, regular portfolio reviews, and a stated emphasis on fee transparency and Reg BI-aligned disclosures.

The company is privately held with no parent or institutional investors identified, and its strategic posture centers on boutique service quality, broad product access through partnerships, and relationship-based client retention. Leadership consists of CEO Craig Gould and Chairman Jacob Frydman. Headcount is small (11–50 employees) and the firm does not disclose revenue, AUM, or production metrics, leaving its financial scale and growth trajectory unclear from public inputs.

Name

Cabot Lodge Securities

Legal name

Cabot Lodge Securities, LLC

Website

https://clsecurities.com

Company type

Private

Founded year

2013

Operating status

Operating

Headcount range

11–50 employees

Short description

Cabot Lodge Securities is a privately held, FINRA/SIPC-registered broker-dealer offering traditional and alternative investment products to individual, accredited, and high-net-worth investors through its CL Wealth Management RIA affiliate and order execution partnerships with RBC and Raymond James.

Ownership category

akta.pro rank

Product category

Broker-Dealer & Investment Advisory Services

NAICS

Securities, Commodity Contracts, and Other Financial Investments and Related Activities (523), Portfolio Management and Investment Advice (52394)

SIC

Security Brokers, Dealers & Flotation Companies (6211)

akta.pro primary industry

Margin Financing & Stock Loan Brokerage (FSAEACAO)

Keywords

• Broker-dealer services
• Alternative investments
• Wealth management
• Retirement planning
• Investment advisory

Headquarters

HQ city

New York

HQ country

United States

HQ region

North America

Offices1 record

Markets served

GTM type

B2C

Offering type

Services

Cost components

Personnel, Operations, Marketing or Sales, Technology or R&D, Infrastructure

Revenue model

1. Securities Trading Commissions: Transaction-based revenue from buying and selling securities including stocks, bonds, mutual funds, ETFs, and alternative investments for clients.
2. Advisory Fees: CL Wealth Management, a registered investment advisor affiliate, generates advisory fees for portfolio management and wealth management services.
3. Alternative Investment Products: Distribution fees and commissions from alternative investments including REITs, hedge funds, private equity, green technology, oil and gas programs, equipment leasing programs, and private placement offerings.

Pricing tiers

Go-to-market motion2 records

Distribution channels3 records

Marketing channels3 records

Core offering

Cabot Lodge Securities is a FINRA/SIPC member broker-dealer that offers individual investors access to traditional securities (stocks, bonds, mutual funds, ETFs, variable annuities) and boutique-style alternative investments (REITs, hedge funds, private equity, oil and gas programs, equipment leasing, private placements). Through its CL Wealth Management registered investment advisor affiliate, it provides separately managed portfolios, retirement planning, and broader wealth management services, with order execution routed through RBC and Raymond James.

Product overview

Cabot Lodge Securities offers a unified financial services platform combining traditional investment products with boutique-style alternative investment solutions. The core offerings include Stocks & Bonds, Mutual Funds, Alternative Investments (REITs, hedge funds, private equity, private placements), Retirement Planning, and Real Estate Investment Trusts. Through its CL Wealth Management (CLWM) sub-brand, the firm provides registered investment advisory services with separately managed accounts. The company operates an open-architecture product platform that enables access to equities, fixed income, ETFs, variable annuities, and through affiliates, life, health, disability insurance, mortgages, and wealth management services.

Differentiator

Problem solved

Functional benefit

Brands

• CL Wealth Management: A registered investment advisor firm focused on crafting individual portfolios to meet the specific needs of each client.

Products and services

• Stocks & Bonds Equities representing ownership in corporations and fixed-income instruments where investors provide loans to governments or corporations; offered through the firm's open-architecture platform to individual investors.
• Mutual Funds Investment vehicles pooling capital from multiple investors to invest in diversified portfolios of securities; over 10,000 mutual funds accessible through the firm.
• Alternative Investments Non-traditional investment vehicles including hedge funds, private equity, green technology, oil and gas programs, equipment leasing programs, and private placement offerings made available to accredited investors through Cabot Lodge Securities LLC.
• Retirement Planning Strategic planning services helping clients prepare for retirement through customized investment approaches and goal-based portfolio construction.
• Real Estate Investment Trusts (REITs) Professionally managed real estate investment vehicles that provide diversification within client portfolios, identified and offered through Cabot Lodge Securities.
• CL Wealth Management (CLWM) Registered investment advisor firm and wholly-owned affiliate of Cabot Lodge Securities, focused on crafting individual portfolios to meet specific client needs through separately managed accounts and advisory services.

Segments3 records

Ideal customer profiles2 records

Technology focussed No

API detail

Has API

No

API docs

API detail

Core technology

AI maturity

App detail

Partnerships

Three partnerships are on record, tiered core and minor.

• CL Wealth Management (CLWM)coreStrategic or Co-development PartnerCLWM is a registered investment advisor affiliate of Cabot Lodge Securities, focused on crafting individual portfolios to meet specific client needs. Provides wealth management services complementing Cabot Lodge's broker-dealer offerings.
• RBC (Royal Bank of Canada)minorChannel Partner/ Reseller/ DistributorOrder execution routing partner for securities trades. Provides infrastructure for trade execution and settlement services.
• Raymond JamesminorChannel Partner/ Reseller/ DistributorOrder execution routing partner for securities trades. Provides infrastructure for trade execution and settlement services.

Recent moves5 records

Expansion highlights3 records

Broad incumbents

• Fidelity Investments: Full-service broker-dealer, RIA, and asset manager serving retail and institutional investors with proprietary and third-party products. Comparable product breadth, but vastly larger scale.
• Raymond James Financial: Major diversified financial services firm with large independent contractor and employee advisor channel. Comparable product menu including traditional and alts; also a current execution partner of Cabot Lodge.
• Charles Schwab: Dominant retail broker and RIA custodian with massive scale and zero-commission trading. Comparable in serving individual investors across traditional products, but vastly larger scale with different economic model.
• Royal Bank of Canada (RBC) Wealth Management: Large global wealth manager with U.S. advisor channel offering traditional and alternative products. Comparable service model, also a current execution partner of Cabot Lodge.

Direct peers

• LPL Financial: Largest independent broker-dealer in the U.S. providing advisors access to a broad product shelf including alternatives. While significantly larger, comparable BD/wealth model serving independent advisors and individual investors.
• Commonwealth Financial Network: Private independent broker-dealer providing advisors with investment, planning, and practice management support. Comparable boutique positioning, advisor-led service, and broad product access.
• Advisor Group / Wealth Enhancement Group: Aggregator of independent broker-dealers (formerly Advisor Group) serving financial advisors with traditional and alternative products. Comparable advisory-led independent BD model.
• Cambridge Investment Research: Large independent broker-dealer supporting financial advisors with a broad menu of traditional and alternative products. Comparable to Cabot Lodge in advisor-centric distribution and open-architecture philosophy.
• Kestra Financial: Independent wealth management platform offering brokerage, RIA, and alternative investments through affiliated advisors. Directly comparable hybrid model with traditional + alt product menu.
• Cetera Financial Group: Independent broker-dealer and RIA support platform serving individual investors with traditional and alternative investment products. Closely comparable to Cabot Lodge's open-architecture, advisor-led, hybrid BD/RIA model.

Market position

Strengths5 records

Weaknesses5 records

Competitive moat4 records

Key risks6 records

Key highlights6 records

Customer concentration

• Xx.com/CabotLodgeSec
• Facebookfacebook.com/CabotLodge
• LinkedInlinkedin.com/company/cabot-lodge-securities

Compliance3 records

Revenue estimate

Valuation estimate

Number of profiles

Profiles2 records

Subsidiaries1 record

Funding overview

Funding rounds

Investors

Funding detail is available on the Subscription and Enterprise plan.Contact sales →

M&A

Investments

M&A and investment is available on the Subscription and Enterprise plan.Contact sales →

Frequently asked questions about Cabot Lodge Securities