PENSION & WEALTH MANAGEMENT ADVISORS
PENSION & WEALTH MANAGEMENT ADVISORS, INC. Legal Name
Adviser information for PENSION & WEALTH MANAGEMENT ADVISORS 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 | JANUARY |
| Legal Location | Massachusetts, United States |
Employees
| Total Number of Employees | 8 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 5 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 397 | $301.3M |
| Non-Discretionary | 1 | $6,900 |
| Total | 398 | $301.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 283 | $52.2M |
| HNW Individuals | 73 | $194.7M |
| 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 | 38 | $49.9M |
| Charitable organizations | <5 | $4.5M |
| 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 | 1 |
| No. of Non-U.S. Clients | 2 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-119016 |
|---|---|
| SEC ERA File Number | 801-119016 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 309546 |
| Legal Entity Identifier | None |
Principal Office
800 SOUTH STREETSUITE 160
WALTHAM
MA
United States
Monday - Friday, 8 AM - 5 PM
Tel: 781-810-0800, Fax: 1-800-616-5532
Chief Compliance Officer
GEORGE P. WEBB
PRESIDENT, CEO
800 SOUTH STREET
SUITE 160
WALTHAM
MA
United States
Tel:
781-810-0800
Fax:
1-800-616-5532
G*****@****************M
(Full email address available in API data)
Regulatory Contact
JAY E ESCHE
COMPLIANCE CONSULTANT
12 CHESTNUT OAK LN
DAWSONVILLE
GA
United States
Tel:
706-974-7979
J**@***************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 |
|---|---|---|---|---|---|
| Webb, George, Paul | Individual | – | PRESIDENT AND CHIEF COMPLIANCE OFFICER | 06/2019 | > 75% |