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 is registered with the SEC since 2004. FINTRX classifies the firm as an investment bank and notes its owner type as a mix of a domestic entity and an individual. The profile identifies the firm as not acting as a capital allocator and not registered or flagged as an active ESG investor. Several typical adviser attributes—multi-state adviser status, pension consultant role, and related-adviser designation—are also recorded as negative. The firm’s FINTRX entry does not provide granular descriptions of its advisory or business activities, so the public profile reads more like a small investment-banking entity than a traditional discretionary RIA focused on client asset management.

Assets & Accounts

Investments & Alternatives

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 Sargent

    Thomas Sargent

    PresidentCRD 1111329

  • Sarah Diorio

    Sarah Diorio

    DirectorCRD 5458810

  • John Wehling

    John Wehling

    Managing DirectorCRD 4586980

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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