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
Wainwright Investment Counsel LLC
Latest filing Sep 15, 2026
First filing on the tape Mar 30, 2012 · 58 filings
SEC status approved since Jun 18, 1999
RAUM
$5.5B
reported, Item 5.F
Discretionary
2.3%
of RAUM
Private clients
31%
$1.7B individuals and HNW
Advisors
12
registered through the firm on IAPD
RAUM per advisor
$460M
derived; firm RAUM over IAPD count
Employees
17
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
58 filings and snapshots on the tape
RAUM$5.5B as of Aug 17, 2026
Mar 30, 2012$3.4B then
HNW client RAUM$1.7B as of Aug 17, 2026
Mar 29, 2018$835M then
State-registered IARs (5.B.3)12 as of Aug 17, 2026
Apr 1, 201314 then
Employees (5.A)17 as of Aug 17, 2026
Apr 1, 201319 then
Private funds1 as of Aug 17, 2026
Mar 28, 20141 then
RAUM -0.6% over the last fiscal year+7.9% a year over threeIARs 12 to 12
Practice profile
derived from the filing of Sep 15, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- OCIO / institutional advisory · selection of other advisers (5.G.7) and institutional share at least 50 percent
- RAUM per advisor
- $460MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 15derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $15.7MderivedHNW RAUM over HNW clients
- Average account
- $25.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 2.3%derivedof RAUM
- Institutional
- 55%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 12.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -0.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.8%derived
- Compensation
- percentage of assets, fixed fees, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, selection of other advisers, educational seminars, otherreportedItem 5.G
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- State and municipal entities$2.8B59%
- High-net-worth individuals$1.7B35%
- Charitable organizations$161M3.4%
- Individuals$42.3M0.9%
- Corporations and businesses$25.3M0.5%
- Pooled investment vehicles$13.5M0.3%
- Pension and profit-sharing plans$6.0M0.1%
- Individual clients
- 68reported
- HNW clients
- 108reported
- Pension plan clients
- 4reported
- Charitable clients
- 12reported
- Accounts
- 214reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.31 fund_share=0.0 institutional_share=0.55 related_bd=true related_bank=true bd_reps=16.0 bank_owner=falsederived
Advisors registered through the firm
12 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Stephen Dalton Barrett | Boston, Ma | Aug 14, 1999 | 32 y | 1 |
| Gustavo Adolfo Aristizabal | Boston, Ma | Aug 14, 1999 | 29 y | 1 |
| Eric Paul Bertonazzi | Boston, Ma | Aug 14, 1999 | 31 y | 0 |
| Donald Ogden Ross | Boston, Ma | Feb 28, 2001 | 30 y | 0 |
| Michael Francis Dwyer | Boston, Ma | Feb 28, 2001 | 45 y | 0 |
| Paul Brian Perdigao | Boston, Ma | Jan 1, 2002 | 28 y | 0 |
| Jeffrey David Fabrizio | Boston, Ma | Feb 19, 2013 | 24 y | 0 |
| Matthew Kirk SeneyChartered Financial Analyst | Boston, Ma | Mar 4, 2013 | 24 y | 0 |
| Michael William, III Siracuse | Boston, Ma | Jul 1, 2013 | 22 y | 0 |
| Salim Mark Khanachet | Boston, Ma | Jul 24, 2013 | 16 y | 0 |
| Ahmet Gucum | Boston, Ma | Dec 2, 2022 | 15 y | 0 |
| Everett Clinton Lewis | Boston, Ma | Jul 25, 2023 | 13 y | 1 |
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
- Timothy Leo Schmidt to Mercer Global Advisors Inc.Apr 18, 2023 · RIA to RIA
- Richard Lewis Zack to Private Advisor Group, LLCOct 18, 2021 · RIA to affiliated broker-dealer or bank
Joined, latest
- Everett Clinton Lewis from Merrill Lynch, Pierce, Fenner & Smith IncorporatedJul 25, 2023 · Wirehouse to independent RIA
- Timothy Leo Schmidt from Td Ameritrade, Inc.Dec 23, 2021 · Other
- Stephen Dalton Barrett from H.C.Wainwright & Co., LLCAug 14, 1999 · Other
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Wainwright Renaissance Fund 1, L.P. (Series A Limited Partnership Interests) | Hedge Fund | $13.6M | 12 | Mar 27, 2015 |
| Wainwright Dreadnought Master Fund L.P.no longer reported | Hedge Fund | $383,815 | 2 | Mar 28, 2014 |
Owners and control persons
Schedule A and B, latest filing
- Adolfo Gustavo Aristizabal · Member Of Wainwright Board, President And Corporate Secretarycontrolsince 11/2015 · owns 5% to 10%
- Dalton Stephen Barrett · Member Of Board Of Managerscontrolsince 01/2005 · owns 5% to 10%
- Paul Eric Bertonazzi · Chairman Of Board Of Managers, Chief Executive Officer, Chief Investment Officer President And Corporate Secretarycontrolsince 07/2013 · owns 25% to 50%
- George Paul Martins · Member Of Board Of Managers, Chief Financial & Administrative Officercontrolsince 07/2013 · owns less than 5%
- Lee Robert Clark · Ownersince 12/2013 · owns less than 5%
- David Jeffrey Fabrizio · Director Of Researchsince 07/2013 · owns less than 5%
- Lorene Margaret Leonard · Chief Compliance Officersince 12/2015 · owns less than 5%
- Kirk Matthew Seney · Chief Operating Officer, Deputy Chief Investment Officer, Chief Compliance Officersince 07/2013 · owns 5% to 10%
Entity owners
- Wch Holdings Corp. · Ownerdirect · owns 5% to 10%
Related persons
Schedule D 7.A
- Wainwright Capital Partners, LLCbankpooled vehicle sponsory
- Wainwright Global Capital, LPpooled vehicle sponsory
- Wfs, LLCbroker-dealery
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Boston, Ma · principal | 12 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Sep 15, 2026discretionary share of RAUM of 2% against a peer median of 97% (289 comparable advisers, 1.0th percentile, 23.6 robust deviations)peers: independent wealth managers, $5B to $20B (289) · 0.7% percentile
- control person changedChange between filings · filing Aug 17, 2026ARISTIZABAL, GUSTAVO, ADOLFO (MEMBER OF WAINWRIGHT BOARD, PRESIDENT AND CORPORATE SECRETARY) left Schedule A between the filings of 2015-12-07 and 2026-08-17peers: independent wealth managers, $5B to $20B (289)
What changed
consecutive filings, newest first
- Financial planning clients · 0 to 0Aug 17, 2026 to Sep 15, 2026
- Private funds · 1 to unsetAug 17, 2026 to Sep 15, 2026
- Succession · false to unsetAug 17, 2026 to Sep 15, 2026
- Accounts · 207 to 214Jun 4, 2025 to Mar 31, 2026
- Charity clients · 13 to 12Jun 4, 2025 to Mar 31, 2026
- HNW clients · 98 to 108Jun 4, 2025 to Mar 31, 2026
- Individual clients · 70 to 68Jun 4, 2025 to Mar 31, 2026
- Pension plan clients · 3 to 4Jun 4, 2025 to Mar 31, 2026
- Employees · 16 to 17Jun 4, 2025 to Mar 31, 2026
- Discretionary RAUM · $112M to $127MJun 4, 2025 to Mar 31, 2026
- HNW RAUM · $1.5B to $1.7BJun 4, 2025 to Mar 31, 2026
- Individual RAUM · $35.3M to $42.3MJun 4, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $5.4B to $5.4BJun 4, 2025 to Mar 31, 2026
- Pension RAUM · $4.5M to $6.0MJun 4, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $13.3M to $13.5MJun 4, 2025 to Mar 31, 2026
- RAUM · $5.5B to $5.5BJun 4, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 0Mar 28, 2025 to Jun 4, 2025
- Accounts · 210 to 207Nov 26, 2024 to Mar 28, 2025
- Charity clients · 14 to 13Nov 26, 2024 to Mar 28, 2025
- Corporate clients · 8 to 9Nov 26, 2024 to Mar 28, 2025
- HNW clients · 99 to 98Nov 26, 2024 to Mar 28, 2025
- Individual clients · 73 to 70Nov 26, 2024 to Mar 28, 2025
- Discretionary RAUM · $105M to $112MNov 26, 2024 to Mar 28, 2025
- HNW RAUM · $1.4B to $1.5BNov 26, 2024 to Mar 28, 2025
- Individual RAUM · $32.2M to $35.3MNov 26, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $4.8B to $5.4BNov 26, 2024 to Mar 28, 2025
- Pension RAUM · $4.2M to $4.5MNov 26, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $15.0M to $13.3MNov 26, 2024 to Mar 28, 2025
- RAUM · $4.9B to $5.5BNov 26, 2024 to Mar 28, 2025
- Accounts · 203 to 210May 30, 2023 to Mar 28, 2024
- Advisory employees · 11 to 10May 30, 2023 to Mar 28, 2024
- BD registered reps · 17 to 16May 30, 2023 to Mar 28, 2024
- HNW clients · 92 to 99May 30, 2023 to Mar 28, 2024
- Employees · 18 to 16May 30, 2023 to Mar 28, 2024
- Discretionary RAUM · $80.6M to $105MMay 30, 2023 to Mar 28, 2024
- HNW RAUM · $1.2B to $1.4BMay 30, 2023 to Mar 28, 2024
- Individual RAUM · $27.3M to $32.2MMay 30, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $4.3B to $4.8BMay 30, 2023 to Mar 28, 2024
- Pension RAUM · $3.7M to $4.2MMay 30, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $15.0M to $15.0MMay 30, 2023 to Mar 28, 2024
Signals
1 dated events
- Timothy Leo Schmidt left Wainwright Investment Counsel Llc for Mercer Global Advisors Inc. (registered 2023-05-02)Apr 18, 2023 · Advisor changed firm · fact
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 email
- info@winvcounsel.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 617-531-3100reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 617-531-3140reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/WINVCOUNSELreportedpublic record, Form ADV, Sep 17, 2026
- Website
- WINVCOUNSEL.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 617-531-3100reportedpublic record, Form ADV, Sep 15, 2026
- Contact form
- winvcounsel.com/contactreportedpublished by the firm, firm site, Sep 17, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $460Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026