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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

WINSLOW, EVANS & CROCKER, INC.

CRD 29686

BOSTON, MA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:bd9fdbdf-0e9c-1cf2-80b6-3dd752213168

Data as of Mar 29, 2021 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:10 AM UTC and rebuilt at most every 15 minutes.

Relationships: 64
Dated events: 5
On other graphs: 0
Observed: Dec 1, 2011 to Mar 29, 2021
65 observations

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

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $889MItem 5.F on the latest filing (2021-03-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $670M
Private client RAUM: $862MderivedItem 5.D individuals plus high net worth individuals
Private client share: 97%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 49
Advisory employees: 33
Offices: 4Schedule D 1.F, beyond the principal office
Accounts: 1,801
Individual clients: 1,585
High net worth clients: 192
SEC number: 801-63905
CRD: 29686
Filings on the tape: 65
First filed: Dec 1, 2011
Latest filed: Mar 29, 2021
Organised: Corporation, Massachusetts

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
BERLINE, LEONID	CHIEF COMPLIANCE OFFICER	Na	yes	05/2006	Dec 1, 2011	Mar 29, 2021
CULLY, ROBERT MALACHY	SENIOR VICE PRESIDENT DIRECTOR PRIVATE GROUP	Na	yes	01/2011	Mar 8, 2012	Mar 29, 2021
DESENA, JOHN CHARLES	Director	Na	yes	01/2020	Jan 28, 2020	Mar 29, 2021
MALONEY, ROBERT BERNARD	President	Na	yes	12/2019	Dec 1, 2011	Mar 29, 2021
MULLEN, MICHAEL ANTHONY	CHAIRMAN. CEO	Na	yes	01/2020	Jan 28, 2020	Mar 29, 2021
NATIONAL HOLDINGS CORPORATION	SOLE SHAREHOLDER	E	yes	12/2019	Jan 28, 2020	Mar 29, 2021
VON KRAUSE-WESTMACOTT, RENATE	PRINCIPAL FINANCIAL OFFICER. PRINCIPAL OPERATIONS OFFICER. FINANCIAL & OPERATIONS PRINCIPAL	Na	yes	10/2018	Dec 1, 2011	Mar 29, 2021
WORMAN, GLENN CHARLES	Director	Na	yes	01/2020	Jan 28, 2020	Mar 29, 2021

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
WINSLOW WEALTH MANAGEMENT LLC	n/a	Former SEC adviser	$26.6M	N	no	n/a
B1 INSURANCE AGENCY, LLC	n/a	n/a	n/a	N	yes	n/a
WINSLOW, EVANS & CROCKER INSURANCE AGENCY, INC.	n/a	n/a	n/a	Y	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Paramus	Nj	United States	5	yes
Lauderdale	FL	United States	1	yes
Braintree	Ma	United States	1	yes
NEW YORK	NY	United States	1	yes

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2020	Mar 9, 2021	$889M	$670M	49	33	4	n/a	n/a
2019	Mar 6, 2020	$839M	$577M	56	38	4	n/a	n/a
2018	Feb 5, 2019	$659M	$469M	56	38	4	n/a	n/a
2017	Jan 23, 2018	$648M	$507M	50	32	1	n/a	n/a
2016	Jan 19, 2017	$615M	$518M	51	33	n/a	n/a	n/a
2015	Jan 13, 2016	$597M	$499M	60	36	n/a	n/a	n/a
2014	Jan 14, 2015	$579M	$483M	52	31	n/a	n/a	n/a
2013	Jan 30, 2014	$582M	$407M	57	33	n/a	n/a	n/a
2012	Feb 6, 2013	$512M	$410M	66	34	n/a	n/a	n/a
2011	Mar 8, 2012	$267M	$8.2M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2020	$889M	$839M	6.1%	$648M	11.1%	49	56	4	4

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
MCCARTER PRIVATE WEALTH SERVICES LLC	2	Apr 13, 2021	Feb 15, 2012	BOSTON, MA	Team lift out	RIA to RIA	11.1%
WINSLOW WEALTH MANAGEMENT LLC	2	Apr 13, 2021	Jan 5, 2018	BOSTON, MA	Channel change	RIA to RIA	11.1%
B. RILEY WEALTH ADVISORS, INC.	16	Apr 9, 2021	May 7, 2021	BOSTON, MA	Firm absorbed	RIA to ibd	76.2%
WINSLOW WEALTH MANAGEMENT LLC	2	Mar 22, 2021	Jun 28, 2018	BOSTON, MA	Channel change	RIA to RIA	8.3%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
MORGAN STANLEY	4	Oct 9, 2018	Oct 9, 2018	PARAMUS, NJ	Team lift out	Wirehouse to RIA	0.0%

Relationships

Affiliated with (2)

← WINSLOW WEALTH MANAGEMENT LLCRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ WINSLOW WEALTH MANAGEMENT LLCRegistered adviserother investment adviser
factForm ADV

Controls (8)

← CULLY, ROBERT MALACHYOwnerSENIOR VICE PRESIDENT DIRECTOR PRIVATE GROUP, ownership code NA, individual
Mar 8, 2012 to presentfactForm ADV
← MULLEN, MICHAEL ANTHONYOwnerCHAIRMAN. CEO, ownership code NA, individual
Jan 28, 2020 to presentfactForm ADV
← WORMAN, GLENN CHARLESOwnerDIRECTOR, ownership code NA, individual
Jan 28, 2020 to presentfactForm ADV
← DESENA, JOHN CHARLESOwnerDIRECTOR, ownership code NA, individual
Jan 28, 2020 to presentfactForm ADV
← BERLINE, LEONIDOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Dec 1, 2011 to presentfactForm ADV
← VON KRAUSE-WESTMACOTT, RENATEOwnerPRINCIPAL FINANCIAL OFFICER. PRINCIPAL OPERATIONS OFFICER. FINANCIAL & OPERATIONS PRINCIPAL, ownership code NA, individual
Dec 1, 2011 to presentfactForm ADV
← MALONEY, ROBERT BERNARDOwnerPRESIDENT, ownership code NA, individual
Dec 1, 2011 to presentfactForm ADV
← NATIONAL HOLDINGS CORPORATIONOwnerSOLE SHAREHOLDER, ownership code E, domestic entity
Jan 28, 2020 to presentfactForm ADV

Registered with (48)

← Leonid BerlineAdvisorregistration: previous registration
Aug 22, 2006 to Jul 26, 2021factForm ADV
← DOUGLAS EDWARD WHITEAdvisorregistration: previous registration
Oct 21, 2008 to Apr 13, 2021factForm ADV
← ROBERT MALACHY CULLYAdvisorregistration: previous registration
Jan 20, 2011 to Apr 13, 2021factForm ADV
← SHAWN M DEVILLIERAdvisorregistration: previous registration
Aug 2, 2012 to Apr 13, 2021factForm ADV
← VERONICA C VORHIESAdvisorregistration: previous registration
Oct 8, 2018 to Apr 13, 2021factForm ADV
← KIMBERLY ANNE FIGENBAUMAdvisorregistration: previous registration
Mar 30, 2009 to Apr 13, 2021factForm ADV
← CLAIRE E SOJAAdvisorregistration: previous registration
Aug 4, 2014 to Apr 13, 2021factForm ADV
← VINCENT JOSEPH SBANOAdvisorregistration: previous registration
Dec 12, 2005 to Apr 13, 2021factForm ADV
← Mark Richard PerryAdvisorregistration: previous registration
Apr 25, 2017 to Apr 13, 2021factForm ADV
← WARNER WHITMAN WAYNEAdvisorregistration: previous registration
Sep 21, 2005 to Apr 13, 2021factForm ADV
← DANIELLE ORENSTEIN JACOBSONAdvisorregistration: previous registration
Oct 5, 2018 to Apr 13, 2021factForm ADV
← JEFFREY M DAVISAdvisorregistration: previous registration
Sep 17, 2007 to Apr 13, 2021factForm ADV
← DOLORES KONGAdvisorregistration: previous registration
Mar 9, 2005 to Apr 13, 2021factForm ADV
← MARK E INGRAMAdvisorregistration: previous registration
Nov 2, 2015 to Apr 13, 2021factForm ADV
← IRINA ZUBOVAdvisorregistration: previous registration
Sep 26, 2007 to Apr 13, 2021factForm ADV
← KYLE EDWARD OBRIENAdvisorregistration: previous registration
Oct 15, 2019 to Apr 13, 2021factForm ADV
← Ryan John VorhiesAdvisorregistration: previous registration
Mar 11, 2019 to Apr 13, 2021factForm ADV
← Alfred Francis MarsicanoAdvisorregistration: previous registration
Jun 5, 2018 to Apr 13, 2021factForm ADV
← John Francis CoyneAdvisorregistration: previous registration
Mar 9, 2005 to Apr 9, 2021factForm ADV
← ELAINE JANET BENEDUCIAdvisorregistration: previous registration
Oct 5, 2018 to Apr 9, 2021factForm ADV
← RICHARD LOUIS BENEDUCIAdvisorregistration: previous registration
Oct 9, 2018 to Apr 9, 2021factForm ADV
← DAPHNE STUART CAPERTONAdvisorregistration: previous registration
Jul 25, 2012 to Mar 24, 2021factForm ADV
← ALFRED CUTLER BARNES MCNEVINAdvisorregistration: previous registration
May 15, 2017 to Mar 24, 2021factForm ADV
← Alina MonisovAdvisorregistration: previous registration
Jun 28, 2018 to Mar 22, 2021factForm ADV
← SEAN MICHAEL MCDONOUGHAdvisorregistration: previous registration
Oct 9, 2007 to Sep 4, 2020factForm ADV
← FRANCOIS JEROME DUCROUXAdvisorregistration: previous registration
Oct 6, 2009 to Jul 16, 2020factForm ADV
← Jake Bingham SalamidaAdvisorregistration: previous registration
Mar 14, 2019 to Feb 12, 2020factForm ADV
← PAUL CHRISTOPHER CHAPUTAdvisorregistration: previous registration
Jul 11, 2005 to Jan 27, 2020factForm ADV
← JEFFREY NORWOOD HALLAdvisorregistration: previous registration
Jan 21, 2005 to Nov 27, 2019factForm ADV
← JOAN CHRISTINE GONZALEZAdvisorregistration: previous registration
Jan 23, 2014 to Mar 24, 2019factForm ADV
and 18 more

Moved with (4)

→ B. RILEY WEALTH ADVISORS, INC.Registered adviser16 advisors, firm absorbed
Apr 9, 2021 to May 7, 2021factForm ADV
← MORGAN STANLEYRegistered adviser4 advisors, team lift out, same day
Oct 9, 2018 to Oct 9, 2018factForm ADV
→ WINSLOW WEALTH MANAGEMENT LLCRegistered adviser2 advisors, team lift out
Mar 22, 2021 to Jun 28, 2018factForm ADV
→ MCCARTER PRIVATE WEALTH SERVICES LLCRegistered adviser2 advisors, team lift out, same day
Apr 13, 2021 to Feb 15, 2012factForm ADV

Dated events

Occurred
Mar 9, 2021
Regulatory AUM changed
Winslow, Evans & Crocker, Inc. reported RAUM $889.4M, up 26% from $707.9M (2021-03-01 to 2021-03-09)
Form ADVobserved 5 days ago
$182M
Occurred
Jan 28, 2020
Control person joined
Glenn Charles Worman (Director) appeared on Schedule A of Winslow, Evans & Crocker, Inc.
Form ADVobserved 5 days ago
Occurred
Jan 28, 2020
Control person joined
Michael Anthony Mullen (Chairman. Ceo) appeared on Schedule A of Winslow, Evans & Crocker, Inc.
Form ADVobserved 5 days ago
Occurred
Jan 28, 2020
Control person joined
John Charles Desena (Director) appeared on Schedule A of Winslow, Evans & Crocker, Inc.
Form ADVobserved 5 days ago
Occurred
Jan 28, 2020
Control person left
Tina Blakeley Maloney (Chairman) no longer on Schedule A of Winslow, Evans & Crocker, Inc. (listed 2019-08-14, absent 2020-01-28)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:bd9fdbdf-0e9c-1cf2-80b6-3dd752213168
First observed: Dec 1, 2011
Last observed: Mar 29, 2021 66 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

WINSLOW, EVANS & CROCKER, INC.

CRD 29686

BOSTON, MA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:bd9fdbdf-0e9c-1cf2-80b6-3dd752213168

Data as of Mar 29, 2021 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:10 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BERLINE, LEONID

CHIEF COMPLIANCE OFFICER

yes

05/2006

Dec 1, 2011

Mar 29, 2021

CULLY, ROBERT MALACHY

SENIOR VICE PRESIDENT DIRECTOR PRIVATE GROUP

yes

01/2011

Mar 8, 2012

Mar 29, 2021

DESENA, JOHN CHARLES

Director

yes

01/2020

Jan 28, 2020

Mar 29, 2021

MALONEY, ROBERT BERNARD

President

yes

12/2019

Dec 1, 2011

Mar 29, 2021

MULLEN, MICHAEL ANTHONY

CHAIRMAN. CEO

yes

01/2020

Jan 28, 2020

Mar 29, 2021

NATIONAL HOLDINGS CORPORATION

SOLE SHAREHOLDER

yes

12/2019

Jan 28, 2020

Mar 29, 2021

VON KRAUSE-WESTMACOTT, RENATE

PRINCIPAL FINANCIAL OFFICER. PRINCIPAL OPERATIONS OFFICER. FINANCIAL & OPERATIONS PRINCIPAL

yes

10/2018

Dec 1, 2011

Mar 29, 2021

WORMAN, GLENN CHARLES

Director

yes

01/2020

Jan 28, 2020

Mar 29, 2021

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

WINSLOW WEALTH MANAGEMENT LLC

n/a

Former SEC adviser

$26.6M

n/a

B1 INSURANCE AGENCY, LLC

n/a

yes

n/a

WINSLOW, EVANS & CROCKER INSURANCE AGENCY, INC.

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Paramus

United States

yes

Lauderdale

United States

yes

Braintree

United States

yes

NEW YORK

United States

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2020

Mar 9, 2021

$889M

$670M

n/a

2019

Mar 6, 2020

$839M

$577M

n/a

2018

Feb 5, 2019

$659M

$469M

n/a

2017

Jan 23, 2018

$648M

$507M

n/a

2016

Jan 19, 2017

$615M

$518M

n/a

2015

Jan 13, 2016

$597M

$499M

n/a

2014

Jan 14, 2015

$579M

$483M

n/a

2013

Jan 30, 2014

$582M

$407M

n/a

2012

Feb 6, 2013

$512M

$410M

n/a

2011

Mar 8, 2012

$267M

$8.2M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2020

$889M

$839M

6.1%

$648M

11.1%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

MCCARTER PRIVATE WEALTH SERVICES LLC

Apr 13, 2021

Feb 15, 2012

BOSTON, MA

Team lift out

RIA to RIA

11.1%

WINSLOW WEALTH MANAGEMENT LLC

Apr 13, 2021

Jan 5, 2018

BOSTON, MA

Channel change

RIA to RIA

11.1%

B. RILEY WEALTH ADVISORS, INC.

Apr 9, 2021

May 7, 2021

BOSTON, MA

Firm absorbed

RIA to ibd

76.2%

WINSLOW WEALTH MANAGEMENT LLC

Mar 22, 2021

Jun 28, 2018

BOSTON, MA

Channel change

RIA to RIA

8.3%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

MORGAN STANLEY

Oct 9, 2018

PARAMUS, NJ

Team lift out

Wirehouse to RIA

0.0%