DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Douglass Winthrop Advisors LLC
Latest filing Mar 24, 2026
First filing on the tape Feb 21, 2012 · 24 filings
SEC status approved since Nov 9, 1999
RAUM
$6.5B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
91%
$5.8B individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$646M
derived; firm RAUM over IAPD count
Employees
34
18 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$6.5B as of Mar 24, 2026
Feb 21, 2012$714M then
HNW client RAUM$5.5B as of Mar 24, 2026
Mar 30, 2018$1.9B then
State-registered IARs (5.B.3)9 as of Mar 24, 2026
Mar 18, 20130 then
Employees (5.A)34 as of Mar 24, 2026
Mar 18, 201310 then
Private funds: no history
RAUM +11% over the last fiscal year+15% a year over threeIARs 9 to 9
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $646MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 125derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.2MderivedHNW RAUM over HNW clients
- Average account
- $2.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.4derivedItem 5.A over advisors
- Advisors per office
- 3.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.4%derived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $6.5B, 1,327 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$5.5B85%
- Individuals$362M5.6%
- Charitable organizations$309M4.8%
- Corporations and businesses$300M4.6%
- Individual clients
- 365reported
- HNW clients
- 884reported
- Pension plan clients
- 0reported
- Charitable clients
- 39reported
- Accounts
- 2,385reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $6.5B for 1,327 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.91 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
10 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Lea Paine HighetCertified Financial Planner | New York, Ny | Aug 31, 2021 | 31 y | 0 |
| Joshua Choate Huffard | New York, Ny | Sep 4, 2021 | 23 y | 0 |
| Pamela Lee White Raviol | New York, Ny | Dec 15, 2021 | 40 y | 1 |
| Daniel Bryce Obrien | New York, Ny | Dec 15, 2021 | 30 y | 0 |
| Charles Taylor Howard | New York, Ny | Jan 3, 2022 | 34 y | 0 |
| John Winthrop | New York, Ny | Jan 3, 2022 | 30 y | 0 |
| Garrett Michael HaywardChartered Financial Analyst | New York, Ny | Oct 28, 2022 | 10 y | 0 |
| Daniel Rhame Abbasi | New York, Ny | Nov 30, 2023 | 10 y | 0 |
| Edward Alexander Crawford | Washington, Dc | Jun 5, 2024 | 27 y | 2 |
| Charles Alexander FrentzChartered Financial Analyst | New York, Ny | Jul 27, 2026 | 13 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- Edward Alexander Crawford from Sweetbay Capital Management, LLCJun 5, 2024 · Other
- Pamela Lee White Raviol from Train, Babcock Advisors LLCDec 15, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Sonny Degady · Chief Financial Officercontrolsince 01/2019 · owns less than 5%
- Royal Robert Douglass · Principal, Membercontrolsince 10/1999 · owns 10% to 25%
- Paine Lea Highet · Principal, Membercontrolsince 01/2005 · owns 5% to 10%
- Taylor Charles Howard · Principal, Membercontrolsince 03/2004 · owns 5% to 10%
- James Timothy Hughes · Principal / Chief Compliance Officercontrolsince 04/2016 · owns less than 5%
- Bryce Daniel Obrien · Principal, Membercontrolsince 11/2024 · owns 5% to 10%
- Oak Welsh Strawbridge · Principal, Membercontrolsince 11/2024 · owns 5% to 10%
- Steven Andrew Weinberg · Principal / Chief Operating Officercontrolsince 07/2021 · owns less than 5%
- John Winthrop · Principal, Membercontrolsince 10/1999 · owns 10% to 25%
Entity owners
- Kudu Investment US, LLC · Member Class I Interestsdirect · owns 25% to 50%
- Kudu Investment Holdings, LLC · Memberindirect · owns 75% or more of Kudu Investment US, LLC
- Kudu Investment Management, LLC · Memberindirect · owns 75% or more of Kudu Investment Holdings, LLC
- White Mountains Insurance Group, Ltd. · Shareholderindirect · owns 75% or more of Wm Hinson (Bermuda), Ltd. · public reporting company
- Wm Hinson (Bermuda), Ltd. · Shareholderindirect · owns 75% or more of Wm International Holdings Ltd.
- Wm International Holdings Ltd. · Shareholderindirect · owns 75% or more of Wm Regent Ltd
- Wm Regent Ltd · Memberindirect · owns 75% or more of Kudu Investment Management, LLC
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 9 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Washington Dc, DC2 employees
- West Palm, FL1 employees
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- account count surgeChange between filings · filing Mar 24, 2026accounts (Item 5.F.2.f) moved from 1,292.0 to 2,385.0 (+85.0%) between the annual amendments of 2025-03-31 and 2026-03-24; the peer median change was +8.0% (253 comparable advisers, 94.0th percentile of changes)peers: independent wealth managers, $5B to $20B (253) · 94% percentile
- control person changedChange between filings · filing Mar 24, 2026OBRIEN, DANIEL, BRYCE (PRINCIPAL, MEMBER) appeared on Schedule A between the filings of 2023-03-31 and 2026-03-24peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Mar 24, 2026STRAWBRIDGE, WELSH, OAK (PRINCIPAL, MEMBER) appeared on Schedule A between the filings of 2023-03-31 and 2026-03-24peers: independent wealth managers, $5B to $20B (289)
What changed
consecutive filings, newest first
- Accounts · 1,292 to 2,385Mar 31, 2025 to Mar 24, 2026
- Advisory employees · 17 to 18Mar 31, 2025 to Mar 24, 2026
- Charity clients · 46 to 39Mar 31, 2025 to Mar 24, 2026
- Corporate clients · 38 to 39Mar 31, 2025 to Mar 24, 2026
- HNW clients · 871 to 884Mar 31, 2025 to Mar 24, 2026
- Individual clients · 337 to 365Mar 31, 2025 to Mar 24, 2026
- Assets in custody · $5.8B to $6.5BMar 31, 2025 to Mar 24, 2026
- Discretionary RAUM · $5.8B to $6.5BMar 31, 2025 to Mar 24, 2026
- HNW RAUM · $4.9B to $5.5BMar 31, 2025 to Mar 24, 2026
- Individual RAUM · $322M to $362MMar 31, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $12,506 to $12,849Mar 31, 2025 to Mar 24, 2026
- RAUM · $5.8B to $6.5BMar 31, 2025 to Mar 24, 2026
- Accounts · 1,265 to 1,292Mar 29, 2024 to Mar 31, 2025
- Advisory employees · 18 to 17Mar 29, 2024 to Mar 31, 2025
- Charity clients · 38 to 46Mar 29, 2024 to Mar 31, 2025
- Corporate clients · 40 to 38Mar 29, 2024 to Mar 31, 2025
- HNW clients · 876 to 871Mar 29, 2024 to Mar 31, 2025
- Individual clients · 311 to 337Mar 29, 2024 to Mar 31, 2025
- Assets in custody · $5.0B to $5.8BMar 29, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 31, 2025
- State-registered IARs · 8 to 9Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $5.0B to $5.8BMar 29, 2024 to Mar 31, 2025
- HNW RAUM · $4.3B to $4.9BMar 29, 2024 to Mar 31, 2025
- Individual RAUM · $236M to $322MMar 29, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $505,768 to $12,506Mar 29, 2024 to Mar 31, 2025
- RAUM · $5.0B to $5.8BMar 29, 2024 to Mar 31, 2025
- Accounts · 1,261 to 1,265Apr 6, 2023 to Mar 29, 2024
- Advisory employees · 19 to 18Apr 6, 2023 to Mar 29, 2024
- Corporate clients · 43 to 40Apr 6, 2023 to Mar 29, 2024
- HNW clients · 879 to 876Apr 6, 2023 to Mar 29, 2024
- Individual clients · 301 to 311Apr 6, 2023 to Mar 29, 2024
- Assets in custody · $4.2B to $5.0BApr 6, 2023 to Mar 29, 2024
- Discretionary RAUM · $4.2B to $5.0BApr 6, 2023 to Mar 29, 2024
- HNW RAUM · $3.6B to $4.3BApr 6, 2023 to Mar 29, 2024
- Individual RAUM · $193M to $236MApr 6, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $19.0M to $505,768Apr 6, 2023 to Mar 29, 2024
- RAUM · $4.2B to $5.0BApr 6, 2023 to Mar 29, 2024
- Accounts · 1,186 to 1,261Dec 5, 2022 to Mar 31, 2023
- Advisory employees · 18 to 19Dec 5, 2022 to Mar 31, 2023
- Charity clients · 37 to 38Dec 5, 2022 to Mar 31, 2023
Signals
10 dated events
- Douglass Winthrop Advisors Llc reported RAUM $5.0B, up 25% from $4.0B (2021-03-31 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Bryce Daniel Obrien (Principal, Member) no longer on Schedule A of Douglass Winthrop Advisors Llc (listed 2021-03-31, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Choate Joshua Huffard (Principal, Member) no longer on Schedule A of Douglass Winthrop Advisors Llc (listed 2021-03-31, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Bowdoin Charles Train (Principal, Member) no longer on Schedule A of Douglass Winthrop Advisors Llc (listed 2021-03-31, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Oak Welsh Strawbridge (Principal, Member) no longer on Schedule A of Douglass Winthrop Advisors Llc (listed 2021-03-31, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Grant Charles Crane (Principal, Member) no longer on Schedule A of Douglass Winthrop Advisors Llc (listed 2021-03-31, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Steven Andrew Weinberg (Principal / Chief Operating Officer) appeared on Schedule A of Douglass Winthrop Advisors LlcMar 31, 2022 · Control person joined · fact
- Degady Sonny (Chief Financial Officer) appeared on Schedule A of Douglass Winthrop Advisors LlcMar 31, 2022 · Control person joined · fact
- Douglass Winthrop Advisors Llc reported RAUM $3.3B, up 35% from $2.4B (2019-03-29 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- Ludlow Lucius Fowler (Principal, Member) no longer on Schedule A of Douglass Winthrop Advisors Llc (listed 2018-06-11, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 212-557-7680reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/douglass-winthrop-advisors-llcreportedpublic record, Form ADV, Sep 17, 2026
- Website
- DOUGLASSWINTHROP.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 212-557-7680reportedpublic record, Form ADV, Mar 24, 2026
- Team page
- DOUGLASSWINTHROP.COM/teamreportedpublished by the firm, firm site, Sep 15, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $646Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026