GW & WADE, LLC
|
|
GW & WADE, LLC
(CRD# 105394)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Wellesley, MA.
The SEC approved the firm to operate as an RIA in
Aug 1986.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$5.9 Billion,
with discretion over
84%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
1%
.
|
|
GW & WADE, LLC
also reported in
Mar 2019
-
61
employees,
with
30
performing advisory functions.
-
A total of 5 office locations.
-
No registrations with foreign financial regulatory authorities.
-
NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
|
|
GW & WADE, LLC has one or more disclosure events currently on file with the SEC.
|
|
|
|
|
|
|
|
|
|
GW & WADE, LLC has Notice Filings with the following State Securities Authorities: AK-Mar 2019, AL-Mar 2019, AR-Mar 2019, AZ-Nov 2004, CA- CO-Apr 2013, CT-Jul 1997, DC-Apr 2013, DE-Mar 2014, FL-<
, GA-Nov 2004, HI-Apr 2013, IA-Apr 2013, ID-Mar 2019, IL-<
, IN-Mar 2019, KS-Mar 2019, KY-Apr 2013, LA-Mar 2005, MA-<
, MD-Nov 2004, ME-Feb 1996, MI-Mar 2005, MN-Apr 2013, MO-<
, MS-Mar 2019, MT-Mar 2019, NC-Mar 2005, ND-Mar 2019, NE-<
, NH-May 1991, NJ-Jun 2010, NM-Apr 2013, NV-Mar 2016, NY-<
, OH-May 2010, OK-Apr 2013, OR-Apr 2013, PA-Nov 2004, PR-<
, RI-Jan 1996, SC-May 2010, SD-Mar 2019, TN-Apr 2013, TX-<
, UT-Apr 2013, VA-Nov 1995, VI-Mar 2019, VT-Nov 2004, WA-<
, WI-Mar 2018, WV-Apr 2013, WY-Mar 2018
|
|
|
|
Disclaimer:
The information presented above was gleaned
from the SEC website and is believed to be
accurate. FindingFraud.org is
presenting this data for informational
purposes only and assumes no responsibility
for errors or omissions. Please note
that we are aware of many instances where
RIAs provided erroneous data to the
SEC. Feel free to contact
FindingFraud.org with questions or concerns.
|
|
|
|
|
|
|
|
