Hedge Fund Database

TSW WEALTH MANAGEMENT

WELLS FINANCIAL ADVISORS, INC. Legal Name

Adviser information for TSW WEALTH MANAGEMENT last updated from Form ADV on March 28th, 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 5
Investment Advisory/Research 2
Registered Broker-Dealer Representatives 3
Registered State Investment Advisers 3
Licensed Agents of an Insurance Company 2
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 403 $223.3M
Non-Discretionary 0 $0
Total 403 $223.3M

Clients

Type Number RAUM
Individuals 60 $28.8M
HNW Individuals 67 $194.4M
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 <5 $40,417
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 0
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 1-10

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businesses
Compensation % of AUMHourly chargesFixed fees

Identifiers

SEC RIA File Number 801-116680
SEC ERA File Number 801-116680
SEC CIK Numbers 1844454
SEC CRD Numbers 125209
Legal Entity Identifier None

Principal Office

205 NEWBURY STREET
SUITE 201
FRAMINGHAM
MA
United States
Monday - Friday, 8:30 AM - 4:30 PM
Tel: 508-655-9303, Fax: 508-655-9305

Websites

www.linkedin.com/company/wells-financial-advisors-inc- www.tswmanagement.com

Chief Compliance Officer

TERRY B. WELLS
MANAGING PRINCIPAL
205 NEWBURY STREET
SUITE 201
FRAMINGHAM
MA
United States
Tel: 508-655-9303
Fax: 508-655-9305
(Full email address available in API data)

Regulatory Contact

SARAH WELLS
PRINCIPAL
205 NEWBURY STREET
SUITE 201
FRAMINGHAM
MA
United States
Tel: 508-655-9303
Fax: 508-655-9305
(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
WELLS, TERRY, BRADLEY Individual – MANAGING PRINCIPAL/CHIEF COMPLIANCE OFFICER 08/1996 > 75%
WELLS, SARAH, ANN Individual – PRINCIPAL 03/2015 5-10%

No. Employees, Historic

105020192020202120222023202420254 on 4/24/20194 on 7/18/20194 on 11/8/20195 on 3/24/20205 on 6/18/20205 on 6/19/20205 on 3/23/20215 on 3/26/20216 on 3/23/20226 on 3/27/20226 on 3/27/20226 on 10/24/20225 on 3/20/20235 on 3/21/20235 on 3/26/20245 on 3/28/2024

RAUM, Historic

300M150M02019202020212022202320242025135431020 on 4/24/2019135431020 on 7/18/2019135431020 on 11/8/2019180464199 on 3/24/2020180464199 on 6/18/2020180464199 on 6/19/2020203948315 on 3/23/2021203948315 on 3/26/2021233833812 on 3/23/2022233833812 on 3/27/2022233833812 on 3/27/2022233833812 on 10/24/2022203387997 on 3/20/2023203387997 on 3/21/2023223311497 on 3/26/2024223311497 on 3/28/2024

No. Clients, Historic

20010002019202020212022202320242025126 on 4/24/2019126 on 7/18/2019126 on 11/8/2019131 on 3/24/2020131 on 6/18/2020131 on 6/19/2020123 on 3/23/2021123 on 3/26/2021132 on 3/23/2022132 on 3/27/2022132 on 3/27/2022132 on 10/24/2022134 on 3/20/2023134 on 3/21/2023127 on 3/26/2024127 on 3/28/2024

Holdings

From latest 13F, filed August 9th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ALPHA ARCHITECT 1-3 MONTH BOX ETF ETF 4K 33 –
ALPHABET INC CAP STK CL A Stock 80K 440 –
AMAZON COM INC COM Stock 54K 280 –
BLACKROCK FLEXIBLE INCOME ETF ETF 4M 77K –
BLACKROCK U.S. EQUITY FACTOR ROTATION ETF ETF 2M 45K –
BLACKROCK ULTRA SHORT-TERM BOND ETF ETF 886K 18K –
COLUMBIA U.S. EQUITY INCOME ETF ETF 75K 2K –
ENERGY SELECT SECTOR SPDR FUND ETF 130K 1K –
FIRST REP BK SAN FRANCISCO CAL COM Stock 0 24 –
HEALTH CARE SELECT SECTOR SPDR FUND ETF 13K 90 –
INVESCO QQQ TRUST SERIES I ETF 2K 5 –
ISHARES 0-5 YEAR HIGH YIELD CORPORATE BOND ETF ETF 70K 2K –
ISHARES 20 YEAR TREASURY BOND ETF ETF 2M 25K –
ISHARES CONVERTIBLE BOND ETF ETF 58K 740 –
ISHARES CORE DIVIDEND GROWTH ETF ETF 1M 20K –
ISHARES CORE MSCI EMERGING MARKETS ETF ETF 1M 19K –
ISHARES CORE MSCI TOTAL INTERNATIONAL STOCK ETF ETF 17K 252 –
ISHARES CORE S&P 500 ETF ETF 2M 4K –
ISHARES CORE S&P TOTAL U.S. STOCK MARKET ETF ETF 24K 201 –
ISHARES CORE TOTAL USD BOND MARKET ETF ETF 1M 24K –
ISHARES CORE U.S. AGGREGATE BOND ETF ETF 2M 22K –
ISHARES CURRENCY HEDGED MSCI EAFE ETF ETF 350K 10K –
ISHARES ESG AWARE 1-5 YEAR USD CORPORATE BOND ETF ETF 229K 9K –
ISHARES ESG AWARE MSCI USA SMALL-CAP ETF ETF 257K 7K –
ISHARES ESG AWARE USD CORPORATE BOND ETF ETF 467K 21K –
ISHARES ESG SCREENED S&P MID-CAP ETF ETF 35K 883 –
ISHARES ESG SCREENED S&P SMALL-CAP ETF ETF 18K 482 –
ISHARES IBONDS DEC 2024 TERM CORPORATE ETF ETF 406K 16K –
ISHARES IBONDS DEC 2025 TERM CORPORATE ETF ETF 421K 17K –
ISHARES IBONDS DEC 2026 TERM CORPORATE ETF ETF 218K 9K –
ISHARES IBONDS DEC 2027 TERM CORPORATE ETF ETF 216K 9K –
ISHARES IBONDS DEC 2028 TERM CORPORATE ETF ETF 138K 6K –
ISHARES IBONDS DEC 2029 TERM CORPORATE ETF ETF 142K 6K –
ISHARES IBONDS DEC 2030 TERM CORPORATE ETF ETF 89K 4K –
ISHARES INVESTMENT GRADE SYSTEMATIC BOND ETF ETF 161K 4K –
ISHARES JP MORGAN USD EMERGING MARKETS BOND ETF ETF 4K 50 –
ISHARES MSCI EAFE GROWTH ETF ETF 1M 12K –
ISHARES MSCI EAFE VALUE ETF ETF 482K 9K –
ISHARES MSCI EMERGING MARKETS EX CHINA ETF ETF 550K 9K –
ISHARES MSCI INTL QUALITY FACTOR ETF ETF 4M 113K –
ISHARES MSCI USA MIN VOL FACTOR ETF ETF 6M 66K –
ISHARES MSCI USA QUALITY FACTOR ETF ETF 12M 69K –
ISHARES NASDAQ BIOTECHNOLOGY INDEX FUND ETF ETF 17K 123 –
ISHARES S&P MID-CAP FUND ETF ETF 857K 15K –
ISHARES S&P SMALL-CAP FUND ETF ETF 515K 5K –
ISHARES U.S. INFRASTRUCTURE ETF ETF 90K 2K –
ISHARES U.S. TECHNOLOGY ETF ETF 709K 5K –
MICROSOFT CORP COM Stock 76K 170 –
ROBLOX CORP CL A Stock 6K 150 –
SCHWAB US TIPS ETF ETF 27K 512 –
SPDR BLOOMBERG CONVERTIBLE SECURITIES ETF ETF 185K 3K –
SPDR GOLD SHARES ETF ETF 6M 29K –
SPDR PORTFOLIO S&P 500 ETF ETF 8M 130K –
SPDR PORTFOLIO S&P 500 GROWTH ETF ETF 16M 197K –
SPDR PORTFOLIO S&P 500 VALUE ETF ETF 11M 220K –
SPDR PORTFOLIO SHORT TERM CORPORATE BOND ETF ETF 1M 34K –
SPDR S&P 500 ESG ETF ETF 180K 3K –
VANGUARD DIVIDEND APPRECIATION INDEX FUND ETF ETF 968K 5K –
VANGUARD EMERGING MARKETS GOVERNMENT BOND ETF ETF 384K 6K –
VANGUARD ESG INTERNATIONAL STOCK ETF ETF 35K 615 –
VANGUARD ESG U.S. STOCK ETF ETF 39K 400 –
VANGUARD FTSE EMERGING MARKETS ETF ETF 13K 300 –
VANGUARD GROWTH INDEX FUND ETF ETF 8M 20K –
VANGUARD HIGH DIVIDEND YIELD INDEX ETF ETF 6M 47K –
VANGUARD INTERMEDIATE-TERM CORPORATE BOND ETF ETF 679K 8K –
VANGUARD INTERMEDIATE-TERM TREASURY ETF ETF 7M 112K –
VANGUARD LARGE-CAP INDEX FUND ETF ETF 3M 14K –
VANGUARD MEGA CAP ETF ETF 108K 549 –
VANGUARD MEGA CAP GROWTH ETF ETF 6M 19K –
VANGUARD MEGA CAP VALUE ETF ETF 3M 23K –
VANGUARD MID-CAP GROWTH INDEX FUND ETF ETF 311K 1K –
VANGUARD MID-CAP INDEX FUND ETF ETF 7M 30K –
VANGUARD MID-CAP VALUE INDEX FUND ETF ETF 183K 1K –
VANGUARD MORTGAGE-BACKED SECURITIES ETF ETF 1M 22K –
VANGUARD S&P 500 ETF ETF 200K 400 –
VANGUARD SHORT-TERM TREASURY ETF ETF 9M 163K –
VANGUARD SMALL-CAP GROWTH ETF ETF 330K 1K –
VANGUARD SMALL-CAP INDEX FUND ETF ETF 6M 26K –
VANGUARD SMALL-CAP VALUE INDEX FUND ETF ETF 255K 1K –
VANGUARD TAX-EXEMPT BOND ETF ETF 301K 6K –
VANGUARD TOTAL BOND MARKET ETF ETF 2M 24K –
VANGUARD TOTAL STOCK MARKET ETF ETF 30K 112 –
VANGUARD VALUE FUND ETF ETF 2M 14K –