WU
Willard L. Umphrey
PEAR TREE ADVISORS
LINCOLN, MA 01773
Some features on this profile are disabled
CRD#: 451556
WU
Professional summary
Willard Lee Umphrey is a registered financial advisor currently at PEAR TREE ADVISORS, INC. located in Lincoln, Massachusetts and U. S. BOSTON CAPITAL CORPORATION located in Lincoln, Massachusetts.
Willard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1969. Willard has worked at 3 firms and has passed the Series 63, Series 6TO, Series 7TO, Series 99TO, SIE, Series 3, Series 1, Series 26, Series 24 and Series 40 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
MR. UMPHREY IS PRESIDENT AND TRUSTEE, PEAR TREE FUNDS - MUTUAL FUND COMPLEX - INVESTMENT RELATED, LOCATED AT 55 OLD BEDFORD ROAD, SUITE 202, LINCOLN, MA 01773. DIRECTOR OF PEAR TREE ADVISORS, INC. - INVESTMENT ADVISOR - INVESTMENT RELATED, LOCATED AT 55 OLD BEDFORD ROAD, SUITE 202, LINCOLN, MA 01773. MANAGER AND MEMBER OF PEAR TREE PARTNERS MANAGEMENT, LLC, LOCATED AT 55 OLD BEDFORD ROAD, SUITE 202, LINCOLN, MA 01773. IT WAS FORMED ON NOVEMBER 21, 2000 AS AN INVESTMENT RELATED BUSINESS TO ACT AS GENERAL PARTNER FOR PEAR TREE PARTNERS, LP. PEAR TREE PARTNERS LP WAS FORMED ON NOVEMBER 21, 2000 AND IS LOCATED AT 55 OLD BEDFORD ROAD, SUITE 202, LINCOLN, MA. IT ACTS AS THE MANAGING MEMBER OF LIMITED LIABILITY COMPANIES FORMED TO HOLD INVESTMENTS IN SMALL PRIVATE COMPANIES. THE HOURS SPENT ON THIS OTHER BUSINESS VARIES. MR. UMPHREY IS DIRECTOR OF U.S. BOSTON ASSET MANAGEMENT CORPORATION - REAL ESTATE MANAGEMENT SERVICES, LOCATED AT 55 OLD BEDFORD ROAD, SUITE 202, LINCOLN, MA 01773. IT WAS FORMED ON FEBRUARY 6, 1985. ON MARCH 17, 2014 MR. UMPHREY BECAME A MEMBER OF THE BOARD OF DIRECTORS OF WOUNDCHEK LABORATORIES, A NON-INVESTMENT RELATED COMPANY LOCATED AT 400 CROWN COLONY DRIVE, SUITE 302, QUINCY, MA 02169. WOUNDCHEK LABORATORIES DEVELOPS WOUND DIAGNOSTIC PRODUCTS. LESS THAN TWO HOURS A MONTH ARE SPENT ON THIS OTHER BUSINESS, SOMETIMES DURING SECURITIES TRADING HOURS, AS MR. UMPHREY HAS NO DAY TO DAY DUTIES. MR. UMPHREY IS A MEMBER OF THE STRATEGIC INVESTMENT COMMITTEE OF GROMA & US BOSTON OPPORTUNITY ZONE FUND, LLC., ("GROMA"). GROMA ACQUIRES, INVESTS AND MANAGES MULTI-FAMILY RESIDENCES IN THE GREATER BOSTON AREA. THE GROMA TEAM HANDLES THE RESEARCH, ACQUISITION, NEGOTIATION, TOURING AND INSPECTION OF ALL PROPERTIES. AS A PASSIVE INVESTOR, MR. UMPHREY HAS THE OPPORTUNITY TO REVIEW DEALS AND MATERIALS PRIOR TO A PROPERTY BEING ACQUIRED AND THEN INVEST A PROPORTIONAL AMOUNT OF THE CAPITAL NECESSARY TO ACQUIRE AND RENOVATE THE PROPERTY. GROMA HANDLES THE LEASING AND MANAGEMENT OF THE PROPERTY, AND MR. UMPHREY RECEIVES ONGOING REPORTS ON EACH PROPERTY'S PERFORMANCE AND THE OVERALL INVESTMENT PORTFOLIO. MR. UMPHREY DEVOTES 4-6 HOURS PER WEEK TO GROMA. THIS ROLE IS COMPENSATED. MR. UMPHREY IS A STRATEGIC ADVISOR TO GROMA FUND II. THIS ACTIVITY BEGAN JANUARY 16, 2024. THIS BUSINESS IS INVESTMENT RELATED AND CONDUCTED FROM 31 NEW CHARDON ST. BOSTON MA 02114. IN THIS CAPACITY HE PROVIDES ADVICE TO THE MANAGEMENT TEAM OF A RESIDENTIAL REAL ESTATE HOLDINGS FUND. HE DEVOTES APPROXIMATLY 3 HOURS PER QUARTER TO THIS ACTIVITY, 0 DURING BUSINESS HOURS. ON MAY 1, 2019, MR. UMPHREY BECAME A MANAGING MEMBER OF RAILRUNNER ROLLING STOCK LLC. A NON-INVESTMENT RELATED COMPANY. RAILWAY EQUIPMENT PARTS COMPANY. LOCATED AT 55 OLD BEDFORD ROAD, SUITE 106, LINCOLN, MA 01773. MR. UMPHREY SPENDS 2 HOURS PER MONTH OUTSIDE OF TRADING HOURS. REIMBURSEMENT FOR OUT-OF-POCKET EXPENSES AND NO COMPENSATION FOR ACTING AS MANAGER. ON JANUARY 16, 2024 MR. UMPHREY BECAME A DIRECTOR OF ELECTRADX, A MEDICAL DIAGNOSTICS TESTING MANUFACTURER. THIS BUSINESS IS NOT INVESTMENT RELATED AND IS CONDUCTED FROM 838 WALKER ROAD, SUITE 21-2 DOVER DE, 19904. HE SPENDS APPROXIMATLY 3 HOURS PER QUARTER ON THIS ACTIVITY, NONE DURING TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Willard Lee Umphrey's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 24, 2002 - Present
PEAR TREE ADVISORS, INC.
Office #1: Lincoln North 55 Old Bedford Road, Lincoln, MA 01773RIA
CRD#: 104576
LINCOLN, MA
Current
June 21, 1985 - Present
U. S. BOSTON CAPITAL CORPORATION
Office #1: 55 Old Bedford Rd, Lincoln, MA 01773Office #2: Lincoln North, Lincoln, MA 01773RIA
BD
CRD#: 5251
Lincoln, MA
Past
January 1, 2000 - January 2, 2003
U. S. BOSTON CAPITAL CORPORATION
RIA
CRD#: 5251
SEVERNA PARK, MD
Past
July 9, 1970 - May 6, 1985
U. S. BOSTON CAPITAL CORPORATION
BD
CRD#: 5251
Past
November 24, 1969 - August 27, 1973
T C HORNE & CO INC
BD
CRD#: 1000001
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".
PT
PEAR TREE ADVISORS, INC.
PEAR TREE ADVISORS, INC. | QUANTITATIVE INVESTMENT ADVISORS, INC. | QUANTITATIVE ADVISORS INC | QUANTITATIVE ADVISORS
CRD#: 104576 / SEC#: 801-19222
RIA
Registered Investment Advisory firm - (6/13/1983 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(10/22/2020)
RR
Florida(8/5/1985)
RR
Georgia(1/11/2022)
RR
Idaho(12/3/2025)
RR
Maine(7/8/2021)
RR
Massachusetts(7/11/1985)
IAR
Massachusetts(3/24/2002)
RR
Minnesota(4/19/2004)
RR
New Hampshire(10/22/2020)
RR
Pennsylvania(1/7/1991)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 11/18/1969
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 40
Date: 4/14/1970
Registered Principal ExaminationSRO Registrations
RR
FINRA
Current Firm
PT
PEAR TREE ADVISORS, INC.
PEAR TREE ADVISORS, INC. | QUANTITATIVE INVESTMENT ADVISORS, INC. | QUANTITATIVE ADVISORS INC | QUANTITATIVE ADVISORS
CRD#: 104576 / SEC#: 801-19222
RIA
Registered Investment Advisory firm - (6/13/1983 Approved)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
55 Old Bedford Road Suite 202, Lincoln, MA 01773-1124
Mailing Address
Phone number
(781) 259-1144
Established
Firm type
Fiscal year end
# of Employees
13
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 3,089,429,330 |
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.
Company Information
PEAR TREE ADVISORS, INC.
CRD#: 104576Lincoln, MA 01773TRUST BUT VERIFY
Monitor Willard Umphrey
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
