Waterway Capital LLC

Broker-DealerFINRA MemberEst. 2004
Total AUM
—
Advisory reps
11
Avg account
$0

Firm details

Headquarters
Boston, Massachusetts
CRD number
128212
Registered since
January 21, 2004

Firm profile

FINTRX

Overview

Waterway Capital LLC is organized as a limited liability company and has been SEC-registered since 2004. The firm is classified as an investment bank and is owned by a domestic entity and an individual. Data indicate it does not operate as a capital allocator, is not registered as a multi-state adviser, and is not identified as an active ESG investor. It also does not appear to act as a pension consultant or a related adviser to other registered firms. Taken together, those attributes suggest Waterway Capital focuses on investment-banking or advisory activities rather than running discretionary, multi-state wealth-management programs for a broad retail client base.

Assets & Accounts

Location & Offices

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Owners & executives

1 of 1
  • Ana Ward

    Ana Ward

    Chief Compliance OfficerCRD 3274959

Contacts

3 of 10
  • Thomas Hopkins

    FinOpCRD 1835087

  • Thomas Sargent

    Thomas Sargent

    PresidentCRD 1111329

  • Lawrence Petri

    Lawrence Petri

    Managing DirectorCRD 1336915

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Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

Location

Primary office

Boston, MA

Suffolk

Location

Boston, MA

Headquartered in Boston, MA, anchoring the Boston-Worcester-Providence, MA-RI-NH-CT metro in the Northeast.

Metro area
Boston-Worcester-Providence, MA-RI-NH-CT
Region
Northeast
County
Suffolk
Address
699 Boylston St
Time zone
ET (UTC-5)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth