ATWATER WEALTH MANAGEMENT
ATWATER WEALTH MANAGEMENT, INC. Legal Name
Adviser information for ATWATER WEALTH MANAGEMENT last updated from Form ADV on March 25th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Massachusetts, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 315 | $190.0M |
| Non-Discretionary | 5 | $2.6M |
| Total | 320 | $192.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 44 | $19.3M |
| HNW Individuals | 55 | $173.4M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 2 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 51-100 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 190.0M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| ATWATER WEALTH MANAGEMENT | LPL FINANCIAL LLC |
Identifiers
| SEC RIA File Number | 801-113808 |
|---|---|
| SEC ERA File Number | 801-113808 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 172749 |
| Legal Entity Identifier | None |
Principal Office
176 FEDERAL STREET5TH FLOOR
BOSTON
MA
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: 617-723-1439, Fax: 857-350-3617
Websites
Chief Compliance Officer
CAROLINE GAFFNEY
CHIEF EXECUTIVE OFFICER
176 FEDERAL STREET
5TH FLOOR
BOSTON
MA
United States
Tel:
617-723-1439
Fax:
857-350-3617
C*******@****************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| GAFFNEY, CAROLINE, ANNE | Individual | – | CHIEF EXECUTIVE OFFICER/CHIEF COMPLIANCE OFFICER | 08/2014 | > 75% |
| GRANT, KATHERINE ANN | Individual | – | CHIEF OPERATING OFFICER | 09/2014 | < 5% |