Gregory D. Wait

Some features on this profile are disabled

CRD#: 1308105

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Gregory Dean Wait, who also goes by Greg Wait, was a registered financial professional .

Gregory is a previously registered financial professional and started their career in finance in 1984. Gregory had worked at 8 firms and has passed the Series 65, Series 63, Series 3, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Greg Wait

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

September 27, 2019 - June 27, 2024

RIVERWATER PARTNERS LLC

RIA

CRD#: 283540

Milwaukee, WI

Past

February 1, 2017 - September 30, 2019

FALCONS ROCK IMPACT INVESTMENTS, LLC

RIA

CRD#: 285692

GERMANTOWN, WI

Past

June 2, 2005 - December 4, 2006

PPCM, INC.

RIA

CRD#: 105154

MILWAUKEE, WI

Past

October 1, 2003 - September 30, 2019

FALCONS ROCK INVESTMENT COUNSEL, LLC

RIA

CRD#: 128729

GERMANTOWN, WI

Past

January 20, 2000 - May 7, 2003

STRONG CAPITAL MANAGEMENT INC

RIA

CRD#: 106638

MENOMONEE FALLS, WI

Past

January 10, 2000 - May 7, 2003

STRONG INVESTMENTS, INC.

CRD#: 15658

MENOMONEE FALLS, WI

Past

September 9, 1998 - January 13, 2000

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

December 3, 1984 - April 2, 1997

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DES MOINES, IA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

RIVERWATER PARTNERS LLC

RIVERWATER BLUE | RIVERWATER PARTNERS, LLC | RIVERWATER PARTNERS LLC

CRD#: 283540 / SEC#: 801-117635

RIA

Registered Investment Advisory firm - (11/14/2019 Approved)

Wisconsin

Registered Investment Advisory firm - (11/25/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/6/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/30/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 6/6/2000

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 10/21/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/30/1984

Investment Company Products/Variable Contracts Representative Examination

Current Firm

RIVERWATER PARTNERS LLC

RIVERWATER BLUE | RIVERWATER PARTNERS, LLC | RIVERWATER PARTNERS LLC

CRD#: 283540 / SEC#: 801-117635

RIA

Registered Investment Advisory firm - (11/14/2019 Approved)

Wisconsin

Registered Investment Advisory firm - (11/25/2019 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1433 N. Water Street Suite 303, Milwaukee, WI 53202

Mailing Address

Phone number

(414) 858-8000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RIVERWATER PART 2A (3/26/2025)

Regulatory assets under management

Total Number of Accounts	190
AUM (Assets Under Management)	$ 600,209,973

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/11/2024	Cover Page	Report
06/02/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Gregory D. Wait

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FALCONS ROCK IMPACT INVESTMENTS, LLC

PPCM, INC.

FALCONS ROCK INVESTMENT COUNSEL, LLC

STRONG CAPITAL MANAGEMENT INC

STRONG INVESTMENTS, INC.

CITIGROUP GLOBAL MARKETS INC.

PRINCIPAL SECURITIES, INC.

Primary Firm SEC Registration

RIVERWATER PARTNERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/6/1998

Series 63

Date: 11/30/1984

Series 3

Date: 6/6/2000

Series 7

Date: 10/21/1998

Series 6

Date: 11/30/1984

Current Firm

RIVERWATER PARTNERS LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

RIVERWATER PARTNERS LLC

TRUST BUT VERIFY

Similar Advisors