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DF

Daniel B. Ford

PENOBSCOT INVESTMENT MANAGEMENT COMPANY
Boston, MA 02210
Some features on this profile are disabled
CRD#: 5731609
DF

Professional summary

Daniel Bailey Ford III is a registered financial advisor currently at PENOBSCOT INVESTMENT MANAGEMENT COMPANY, INC. located in Boston, Massachusetts.

Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Daniel has worked at 1 firm and has passed the Series 65 exam.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
TRUSTEE OF ACCOUNTS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Bailey Ford III's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

December 4, 2009 - Present

PENOBSCOT INVESTMENT MANAGEMENT COMPANY, INC.

Office #1: 155 Federal Street Suite 1602, Boston, MA 02210
RIA
CRD#: 105060
Boston, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
PI
PENOBSCOT INVESTMENT MANAGEMENT COMPANY, INC.
PENOBSCOT | PENOBSCOT INVESTMENT MANAGEMENT COMPANY, INC. | PENOBSCOT INVESTMENT MANAGEMENT CO INC | PENOBSCOT INVESTMENT MANAGEMENT

CRD#: 105060 / SEC#: 801-31820

RIA
Registered Investment Advisory firm - (5/2/1988 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
Maine
(12/4/2009)
IAR
Massachusetts
(12/4/2009)
IAR
Texas
(4/9/2012)

Exams

State Security Law Exam
IAR
Series 65
Date: 12/3/2009
Uniform Investment Adviser Law Examination

Current Firm

PI
PENOBSCOT INVESTMENT MANAGEMENT COMPANY, INC.
PENOBSCOT | PENOBSCOT INVESTMENT MANAGEMENT COMPANY, INC. | PENOBSCOT INVESTMENT MANAGEMENT CO INC | PENOBSCOT INVESTMENT MANAGEMENT

CRD#: 105060 / SEC#: 801-31820

RIA
Registered Investment Advisory firm - (5/2/1988 Approved)
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Contact information

Main Address
155 Federal Street Suite 1602, Boston, MA 02210
Mailing Address
Phone number
(617) 227-3111
Established
Firm type
Fiscal year end
# of Employees
14

SEC notice filing (11 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART 2 (3/26/2025)

Regulatory assets under management

Total Number of Accounts796
AUM (Assets Under Management)$ 1,390,600,540

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
12/01/2025
Cover Page
Report
10/24/2024
Cover Page
Report
09/27/2023
Cover Page
Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

PENOBSCOT INVESTMENT MANAGEMENT COMPANY, INC.

CRD#: 105060Boston, MA 02210

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