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RIA / WealthAdvisor37 years in industry

NEIL GRAHAM MCINNIS

Advisor at PENSION & WEALTH MANAGEMENT ADVISORS

WALTHAM, MA

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Search this name across graphsid dfx:ria:7bdfc706-404e-e5ac-11ff-e52a134e159b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:32 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Oct 23, 2003 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: PENSION & WEALTH MANAGEMENT ADVISORS
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 1, 1988earliest registration or exam on IAPD
Years in industry: 37derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Jan 27, 1989
First registration: Oct 23, 2003
Dual registered: no
IAPD individual key: 1521962

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
PENSION & WEALTH MANAGEMENT ADVISORS	Independent wealth	Jun 1, 2026	n/a	yes	WALTHAM, MA	Current employment
PENSION & WEALTH MANAGEMENT ADVISORS	Independent wealth	Jul 11, 2020	Dec 31, 2025	no	WALTHAM, MA	Previous registration
KASTEL CAPITAL ADVISORS, LLC	Independent wealth	Jul 3, 2019	Dec 8, 2020	no	WELLESLEY, MA\|Waltham, MA	Previous registration
BAY COLONY ADVISORS	Independent wealth	Jan 2, 2018	Jul 1, 2019	no	Waltham, MA\|CONCORD, MA	Previous registration
PENSION & WEALTH MANAGEMENT	n/a	Mar 2, 2006	Dec 1, 2020	no	WALTHAM, MA	Previous registration
OSAIC WEALTH, INC.	Bd affiliated wealth	Oct 23, 2003	Dec 31, 2017	no	WALTHAM, MA\|WALTHAM, MA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
KASTEL CAPITAL ADVISORS, LLC	PENSION & WEALTH MANAGEMENT ADVISORS	Dec 8, 2020	Jul 11, 2020	-150	Firm change after gap	RIA to new firm
PENSION & WEALTH MANAGEMENT	BAY COLONY ADVISORS	Dec 1, 2020	Jan 2, 2018	-1,064	Firm change after gap	Other
BAY COLONY ADVISORS	KASTEL CAPITAL ADVISORS, LLC	Jul 1, 2019	Jul 3, 2019	2	Firm change	RIA to RIA
OSAIC WEALTH, INC.	PENSION & WEALTH MANAGEMENT	Dec 31, 2017	Mar 2, 2006	-4,322	Firm change after gap	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
226520:309546:MA:2020-12-08	Dec 8, 2020	Jul 11, 2020	WALTHAM, MA	Firm change after gap

Relationships

Registered with (5)

→ PENSION & WEALTH MANAGEMENT ADVISORSRegistered adviserregistration: previous registration
Jul 11, 2020 to Dec 31, 2025factForm ADV
→ KASTEL CAPITAL ADVISORS, LLCRegistered adviserregistration: previous registration
Jul 3, 2019 to Dec 8, 2020factForm ADV
→ PENSION & WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Mar 2, 2006 to Dec 1, 2020factForm ADV
→ BAY COLONY ADVISORSRegistered adviserregistration: previous registration
Jan 2, 2018 to Jul 1, 2019factForm ADV
→ OSAIC WEALTH, INC.Registered adviserregistration: previous registration
Oct 23, 2003 to Dec 31, 2017factForm ADV

Dated events

No dated event names this entity yet.