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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

WINTHROP FINANCIAL, INC.

DAS-WFI INC., CRD 158852

BUFFALO, NY

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:d39be55b-2d0e-493e-c284-3495e251237f

Data as of Jul 28, 2017 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:40 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Feb 10, 2012 to Jul 28, 2017
13 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
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 2
Advisory employees: 2
SEC number: 801-72751
CRD: 158852
Filings on the tape: 13
First filed: Feb 10, 2012
Latest filed: Jul 28, 2017
Organised: Corporation, Delaware

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
STAURING, DEBORAH, ANN	CHIEF COMPLIANCE OFFICER, OWNER	Na	yes	07/2011	Feb 10, 2012	Jul 28, 2017

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
WINTHROP PARTNERS - WNY, LLC	n/a	Independent wealth	$186M	N	no	n/a
WINTHROP PARTNERS - EPA, LLC	n/a	Independent wealth	$82.2M	N	no	n/a
WINTHROP PARTNERS - WPA, LLC	n/a	Independent wealth	$44.1M	N	no	n/a

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
2016	Oct 28, 2016	$184M	$177M	4	3	n/a	n/a	n/a
2015	Sep 9, 2015	$189M	$180M	4	3	n/a	n/a	n/a
2014	Aug 28, 2014	$194M	$180M	4	3	n/a	n/a	n/a
2013	Sep 10, 2013	$178M	$163M	4	3	n/a	n/a	n/a
2012	Aug 25, 2012	$155M	$143M	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
2016	n/a	$189M	n/a	$178M	n/a	2	4	n/a	n/a

Relationships

Affiliated with (3)

→ WINTHROP PARTNERS - EPA, LLCRegistered adviserother investment adviser
factForm ADV
→ WINTHROP PARTNERS - WNY, LLCRegistered adviserother investment adviser
factForm ADV
→ WINTHROP PARTNERS - WPA , LLCRegistered adviserother investment adviser
factForm ADV

Controls (1)

← STAURING, DEBORAH, ANNOwnerCHIEF COMPLIANCE OFFICER, OWNER, ownership code NA, individual
Feb 10, 2012 to presentfactForm ADV

Registered with (1)

← WINTHROP LAWRENCE BUCKAdvisorregistration: previous registration
Aug 25, 2012 to Sep 27, 2017factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d39be55b-2d0e-493e-c284-3495e251237f
First observed: Feb 10, 2012
Last observed: Jul 28, 2017 111 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.

WINTHROP FINANCIAL, INC.

DAS-WFI INC., CRD 158852

BUFFALO, NY

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:d39be55b-2d0e-493e-c284-3495e251237f

Data as of Jul 28, 2017 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:40 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

STAURING, DEBORAH, ANN

CHIEF COMPLIANCE OFFICER, OWNER

yes

07/2011

Feb 10, 2012

Jul 28, 2017

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

WINTHROP PARTNERS - WNY, LLC

n/a

Independent wealth

$186M

n/a

WINTHROP PARTNERS - EPA, LLC

n/a

Independent wealth

$82.2M

n/a

WINTHROP PARTNERS - WPA, LLC

n/a

Independent wealth

$44.1M

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2016

Oct 28, 2016

$184M

$177M

n/a

2015

Sep 9, 2015

$189M

$180M

n/a

2014

Aug 28, 2014

$194M

$180M

n/a

2013

Sep 10, 2013

$178M

$163M

n/a

2012

Aug 25, 2012

$155M

$143M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2016

n/a

$189M

n/a

$178M

n/a