Gw & Wade, LLC (Wellesley)


Gw & Wade, LLC is a large advisory firm based in Wellesley. It manages $5.93 billion of regulatory assets for 8,208 client accounts. It has been registered with the SEC as an adviser since 2008 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 49 other states.

Gw & Wade provides financial planning services, portfolio management for individuals and small businesses, selection of other advisers, publication of newsletters, educational seminars and workshops, and income tax preparation and consulting services. It prepares financial plans for approximately 1,000 clients. On top of advisory services, the firm doesn't engage in other business activities.

Gw & Wade: assets under management

The assets under management (AUM) of Gw & Wade, LLC is $5.93 billion. The firm's AUM has grown by 117% since the beginning of its operation, and $37.57 million of the total AUM is attributable to clients outside of the United States.

The firm manages $4.98 billion in discretionary accounts and $951.93 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $784.9 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $509.6 thousand.
Gw & Wade has custody of $3.01 billion in cash and securities for 1,017 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in investment and business development companies the most. They account for 58% of the total AUM. The second-largest asset type is exchange traded securities, which make up 25% of the firm’s portfolio. Investments in cash and cash equivalents form 10% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Gw & Wade, LLC for their services and products based on a percentage of assets under management, fixed fees, and commissions. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Michael Harold Glor serves?

The firm provides services to individuals, charitable organizations, high net worth individuals, corporations or other businesses, and pension and profit sharing plans. The largest group of clients of Michael Harold Glor is high net worth individuals with 1,059 clients and $5.43 billion of assets under management. Among the 10 most similar advisory firms, Gw & Wade has the highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $5.93 billion for 2,310 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 1% of the firm’s clients are foreign persons or businesses.

Gw & Wade doesn't advise any private funds.

Careers at Gw & Wade, LLC

The company employs 61 people that are either part- or full-time employees. 49 percent of the employees work as investment advisers or researchers. 30 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Michael Harold Glor has been acting as President since 1 May 1986. Matthew George Valentine joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Roger William Wade Principal/counselor 1 May 1986 Other 1326074
Michael Harold Glor President/director/principal/counselor 1 May 1986 25% - 50% 1332746
Timothy Pinch Principal/counselor 1 Jun 1987 Other 1506654
Philip Perry Jameson Principal/counselor 1 Jan 2000 Other 1452524
Joseph Peter Rigali Principal/counselor 1 Jan 2000 Other 1961498
David Robert Simmer Principal/counselor 1 Jan 2000 Other 1259464
Robert Paul Lavigne Chief compliance officer 1 Mar 2005 Other 3139272
Robert Francis Bodio Principal/counselor 1 Dec 2005 Other 2937621
Gerald Anthony Polcari Principal/counselor 1 Dec 2005 Other 1130799
Llc Focus Operating Member (manager) 1 Sep 2007 75% - 100% 20-8161914
Neil Lawrence Goldberg Principal 1 Sep 2007 Other 1284505
Timothy Pinch Management committee co-head 1 Sep 2007 Other 1506654
Roger William Wade Management committee co-head 1 Sep 2007 Other 1326074
Eric Herd Rosenberg Principal/counselor 1 Dec 2010 Other 2937604
Darren Michael Norton Principal/counselor 1 Dec 2010 Other 3146276
David Lawrence Brodsky Principal/counselor 1 Dec 2010 Other 4409756
Robert James Emens Principal/counselor 1 Dec 2010 Other 3006559
John Stephen Murray Principal/counselor 1 Dec 2010 Other 4341104
Gene Edward Sinclair Principal 1 Dec 2010 Other 815168
Christopher John Kenny Dolan Chief compliance officer 1 Feb 2011 Other 2717123
Douglas H Drozdowski Chief compliance officer 1 Mar 2011 Other 4263415
Cortina S Delpleche Chief compliance officer 1 May 2012 Other 4455415
Beth Lehman Chief compliance officer and general counsel 1 Jan 2013 Other 5516572
Robert Francis Bodio Management committee member 1 Dec 2013 Other 2937621
Eric Herd Rosenberg Management committee member 1 Dec 2013 Other 2937604
Robert James Emens Management committee member 1 Dec 2013 Other 3006559
Christopher John Kenny Dolan Interim chief compliance officer 1 Oct 2018 Other 2717123
Heather Schirmer Mahoney General counsel 1 Nov 2018 Other 7053236
Matthew George Valentine Chief compliance officer 1 Dec 2018 Other 4958447

Indirect Owners

The SEC currently registers 14 indirect owners.

Name Entity Date acquired Ownership Employer ID
L.P. Summit Partners Vi (Gp) General partner 1 Dec 2000 Other 04-3540852
Llc Summit Partners Vi (Gp) General partner 1 Dec 2000 Other 135263
Lp Summit Partners Vi (Gp) General partner 1 Dec 2000 Other 04-3540852
L.P. Summit Venture Via Member 1 Jan 2006 50% - 75% 04-3540853
L.P. Summit Venture Vi A Member (manager) 1 Jan 2006 25% - 50% 04-3540853
Llc Focus Financial Partners Member 1 Jan 2007 75% - 100% 16-1728260
Llc Focus Operating Member (manager) 1 Jan 2007 75% - 100% 20-8161914
Llc Focus Financial Partners Member 1 Sep 2007 75% - 100% 16-1728260
Lp Cp Falcon Aiv Member 1 Oct 2013 25% - 50% 36-4767158
L.P. Trident Vi Parallel Fund Member 1 Apr 2017 75% - 100% 98-1132009
Trident Ffp Blocker Llc Limited partner 1 May 2017 25% - 50% 82-1662776
L.P. Trident Vi Limited partner 1 May 2017 25% - 50% 98-1131820
L.P. Trident Ffp Member 1 Jul 2017 25% - 50% 82-1662703
Focus Financial Partners Inc. Member 1 Jul 2018 75% - 100% 47-4780811

Based in Wellesley

The principal office where Gw & Wade, LLC performs its advisory services is located at 93 Worcester Street, Wellesley, MA 02481, which is also the mailing address of the firm. An additional office of the firm is in Norwell, MA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number (781) 239-1188 or by fax (781) 239-1070. The normal business hours are 8:00 am - 5:00 pm (est) on Monday - Friday. You can find more information about the New York firm at gwwade.com.