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; its ownership is listed as a combination of a domestic entity and an individual. The firm is not flagged as a capital allocator, and it is not identified as an active ESG investor. It also does not appear as a multi-state adviser, a pension consultant, or a related adviser in the available records. FINTRX does not provide detail on the firm’s client segments, fee schedule, advisory services, or specific business activities, so its target markets and service model are not documented in the source data.

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 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