GW & WADE, LLC
Adviser information for GW & WADE, LLC last updated from Form ADV on February 8th, 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 87 |
|---|---|
| Investment Advisory/Research | 41 |
| Registered Broker-Dealer Representatives | 31 |
| Registered State Investment Advisers | 31 |
| 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 | 11,824 | $8.9B |
| Non-Discretionary | 37 | $10.8M |
| Total | 11,861 | $8.9B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 1,694 | $574.4M |
| HNW Individuals | 1,632 | $8.2B |
| 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 | 14 | $56.8M |
| Charitable organizations | 19 | $42.9M |
| State or municipal gov entities | <5 | $39.8M |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 10 | $15.0M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 1 |
| No. of Financial Planning Clients | 2000 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)Publication of periodicals or newslettersEducational seminars/workshopsINCOME TAX PREP, ESTATE/TRUST ADMINISTRATION SERVICES, CONSULTING SERVICES & FACILITATING CREDIT AND CASH MANAGEMENT SOLUTIONS |
|---|---|
| Compensation | % of AUMFixed feesCommissions12B-1 FEES |
| Other Business Activities | CREDIT AND CASH MANAGEMENT SOLUTIONS |
Identifiers
| SEC RIA File Number | 801-27292 |
|---|---|
| SEC ERA File Number | 801-27292 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 105394 |
| Legal Entity Identifier | None |
Principal Office
93 WORCESTER STREET4TH FLOOR
WELLESLEY
MA
United States
Monday - Friday, 8:00 AM - 5:00 PM (EST)
Tel: (781) 239-1188, Fax: (781) 239-1070
Websites
www.linkedin.com/in/debrabrede/
www.facebook.com/debrakbrede
www.linkedin.com/company/debra-brede-author-founder-d-k-brede-investment-management-company/
twitter.com/debrabrede
twitter.com/gw_wade
www.linkedin.com/company/gw-&-wade-llc/
www.facebook.com/gwwadellc/
focusfinancialpartners.com/
www.linkedin.com/company/2064318/
www.gwwade.com
www.gwwade.com/instagram
www.bredeinvestment.com/
debrabrede.com/book/
twitter.com/focusfinancial
Chief Compliance Officer
MATTHEW G VALENTINE
CCO & ASSOCIATE GENERAL COUNSEL
93 WORCESTER STREET
4TH FLOOR
WELLESLEY
MA
United States
Tel:
(781) 239-1188
Fax:
(781) 239-1070
C*********@*********M
(Full email address available in API data)
Regulatory Contact
MICHELLE DIAS
ASSISTANT VICE PRESIDENT, COMPLIANCE
93 WORCESTER STREET
4TH FLOOR
WELLESLEY
MA
United States
Tel:
(781) 239-1188
Fax:
(781) 239-1070
C*********@*********M
(Full email address available in API data)
Industry Affiliates
| GW & WADE ASSET MANAGEMENT COMPANY, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| SCS CAPITAL MANAGEMENT LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| PINCH, TIMOTHY | Individual | – | MANAGEMENT COMMITTEE CO-HEAD | 09/2007 | < 5% |
| WADE, ROGER, WILLIAM | Individual | – | MANAGEMENT COMMITTEE CO-HEAD | 09/2007 | < 5% |
| BODIO, ROBERT, FRANCIS | Individual | – | MANAGEMENT COMMITTEE MEMBER | 12/2013 | < 5% |
| FOCUS OPERATING, LLC | Domestic Entity | – | MEMBER (MANAGER) | 09/2007 | > 75% |
| FOCUS FINANCIAL PARTNERS, LLC | Domestic Entity | FOCUS OPERATING, LLC | MEMBER | 01/2007 | > 75% |
| ROSENBERG, ERIC, HERD | Individual | – | MANAGEMENT COMMITTEE MEMBER | 12/2013 | < 5% |
| EMENS, ROBERT, JAMES | Individual | – | MANAGEMENT COMMITTEE MEMBER | 12/2013 | < 5% |
| FOCUS FINANCIAL PARTNERS INC. | Domestic Entity | FOCUS FINANCIAL PARTNERS, LLC | MANAGING MEMBER | 07/2018 | > 75% |
| VALENTINE, MATTHEW, GEORGE | Individual | – | CHIEF COMPLIANCE OFFICER AND ASSOCIATE GENERAL COUNSEL | 12/2018 | < 5% |
| FERDINAND FFP INTERMEDIATE HOLDINGS, LLC | Domestic Entity | FERDINAND FFP ACQUISITION, LLC | MEMBER | 08/2023 | > 75% |
| MAHONEY, HEATHER, SCHIRMER | Individual | – | GENERAL COUNSEL AND MANAGEMENT COMMITTEE MEMBER (2020) | 11/2018 | < 5% |
| FERDINAND FFP ACQUISITION, LLC | Domestic Entity | FOCUS FINANCIAL PARTNERS INC. | SHAREHOLDER, CLASS A COMMON STOCK | 08/2023 | > 75% |
| FERDINAND FFP ULTIMATE HOLDINGS, LP | Domestic Entity | FOCUS FINANCIAL PARTNERS INC. | SHAREHOLDER, CLASS B COMMON STOCK | 08/2023 | > 75% |
| FERDINAND FFP PARENT, INC. | Domestic Entity | FERDINAND FFP INTERMEDIATE HOLDINGS, LLC | MEMBER | 08/2023 | > 75% |
| FERDINAND FFP ULTIMATE HOLDINGS, LP | Domestic Entity | FERDINAND FFP PARENT, INC. | SHAREHOLDER | 08/2023 | > 75% |
| CD&R FERDINAND HOLDINGS, L.P. | Domestic Entity | FERDINAND FFP ULTIMATE HOLDINGS, LP | PARTNER | 08/2023 | 50-75% |
| CD&R FERDINAND CO-INVESTOR, L.P. | Foreign Entity | CD&R FERDINAND HOLDINGS, L.P. | PARTNER | 08/2023 | 25-50% |
| CLAYTON, DUBILIER & RICE FUND XII, L.P. | Foreign Entity | CD&R FERDINAND HOLDINGS, L.P. | PARTNER | 08/2023 | 50-75% |