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131 Dartmouth Street 3Rd Floor, Boston, MA 02116 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2018-11-15 |
| MA | RA | APPROVED | 2016-07-27 |
Branch Locations
131 Dartmouth Street 3Rd Floor, Boston, MA 02116 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Empirical Asset Management | Newton | MA | 07/2010 | 03/2020 |
| Stance Capital Llc | Boston | MA | 07/2016 | Present |
1. CWM Retirement Plan Services, Mr. Davis is compensated for providing introductions to businesses looking for advanced 401k plan design and management. Mr. Davis spends approximately 6 hours per month in this capacity, some of which may be during securities trading hours. 2. Impact Infrastructure, 2012, Board Member, 4 hours per month half of which may be during securities trading hours 3. Honeydrop Beverages, 2014, Board Member, 4 hours per month half of which may be during securities trading hours 4. Mafic, S.A., 2017, Board Member, 4 hours per month half of which may be during securities trading hours 5. Drake Partners Beta Fund, LLC, investment related, investment committee, 6 hours per month, Mr. Davis acts as the sounding board to management on potential portfolio companies and leads the advisory committee.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2013-01-15 |
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