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
Winthrop Capital Management
Legal name Winthrop Capital Management, LLC
Latest filing Mar 27, 2026
First filing on the tape Mar 15, 2012 · 37 filings
SEC status approved since Apr 30, 2010
RAUM
$4.0B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
10.0%
$397M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$993M
derived; firm RAUM over IAPD count
Employees
29
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$4.0B as of Mar 27, 2026
Mar 15, 2012$132M then
HNW client RAUM$181M as of Mar 27, 2026
Mar 26, 2018$71.0M then
State-registered IARs (5.B.3)3 as of Mar 27, 2026
Mar 15, 20120 then
Employees (5.A)29 as of Mar 27, 2026
Mar 14, 20136 then
Private funds1 as of Mar 27, 2026
Mar 26, 20141 then
RAUM +2.0% over the last fiscal year+12% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- OCIO / institutional advisory · selection of other advisers (5.G.7) and institutional share at least 50 percent
- RAUM per advisor
- $993MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 117derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $4.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 81%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 7.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $16.2M, 1 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Insurance companies$3.1B79%
- Individuals$217M5.4%
- Pooled investment vehicles$185M4.7%
- High-net-worth individuals$181M4.5%
- Corporations and businesses$172M4.3%
- Pension and profit-sharing plans$62.6M1.6%
- Charitable organizations$9.3M0.2%
- Individual clients
- 406reported
- HNW clients
- 60reported
- Pension plan clients
- 10reported
- Charitable clients
- 7reported
- Accounts
- 832reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- $0 sponsored, $287M managedreported
- Custody of client assets
- $16.2M for 1 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.1 fund_share=0.05 institutional_share=0.81 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Gregory James HahnChartered Financial Analyst | Carmel, In | Oct 2, 2007 | 27 y | 3 |
| Adam C CoonsChartered Financial Analyst | Carmel, In | Oct 29, 2020 | 12 y | 1 |
| Keith HansonChartered Financial Analyst | Carmel, In | Dec 19, 2022 | 18 y | 0 |
| Freddy LavricChartered Financial Analyst | Carmel, In | Jun 4, 2026 | 10 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 headcount1 left over 36 months
Left, latest
- John Robert Denger to Oxford Financial Group, LtdMay 1, 2024 · Other
- Tim William Bond to Parcion Private Wealth LLCSep 1, 2022 · Other
- Lauran D Reynolds to Schwab Wealth Advisory, Inc.Jan 2, 2018 · Other
- Charlotte Lippert to Valeo Financial Advisors, LLCDec 10, 2015 · Other
- Gary Craig Crenshaw to Suntrust Investment Services, Inc.May 15, 2013 · Other
- Audrey Bruch to Wallington Asset ManagementSep 21, 2012 · Other
- Martin Davis Hensley to Gordon Asset Management, LLCFeb 8, 2012 · Other
- Nelson Mahan Kelly to First Citizens Investor Services, Inc.Jul 19, 2011 · Other
- Stephen Paul Carr to Peloton Capital ManagementFeb 16, 2010 · Other
Joined, latest
- Tim William Bond from Gripman Investment Advisors, LLCAug 26, 2021 · Other
- Adam C Coons from Sanctuary Advisors, LLCOct 29, 2020 · Other
- Charlotte Lippert from Charlotte Lippert Wealth ManagementJun 24, 2014 · Other
- Martin Davis Hensley from Raymond James Financial Services Advisors, IncJul 18, 2011 · Other
- Gary Craig Crenshaw from Family Office Group LLCApr 28, 2011 · Other
- Nelson Mahan Kelly from Family Office Group LLCApr 28, 2011 · Other
- Stephen Paul Carr from Ronald Blue & Co., LLCDec 21, 2007 · Other
- Gregory James Hahn from Oppenheimer Asset ManagementOct 2, 2007 · Other
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Chatham - Ait Npe, LLCno longer reported | Private Equity Fund | $2.0M | 2 | Mar 4, 2016 |
| Chatham Venture Partners, LLCno longer reported | Venture Capital Fund | $630,000 | 2 | Mar 26, 2014 |
Owners and control persons
Schedule A and B, latest filing
- James Gregory Hahn · Managing Member And Chief Investment Officercontrolsince 01/2020 · owns 75% or more
- C Adam Coons · Portfolio Managersince 10/2013 · owns less than 5%
- Bryan James Horrey · Chief Compliance Officersince 08/2021 · owns less than 5%
Related persons
Schedule D 7.A
- Chatham Capital Partners, LLCpooled vehicle sponsory
Advisers that list Winthrop Capital Management as a related person
- 300814 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Carmel, In · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- account count surgeChange between filings · filing Mar 27, 2026accounts (Item 5.F.2.f) moved from 517.0 to 832.0 (+61.0%) between the annual amendments of 2025-03-26 and 2026-03-27; the peer median change was +4.0% (14 comparable advisers, 100.0th percentile of changes)peers: institutional managers, $1B to $5B (14) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 517 to 832Mar 26, 2025 to Mar 27, 2026
- Advisory employees · 8 to 9Mar 26, 2025 to Mar 27, 2026
- Charity clients · 9 to 7Mar 26, 2025 to Mar 27, 2026
- Corporate clients · 10 to 20Mar 26, 2025 to Mar 27, 2026
- HNW clients · 63 to 60Mar 26, 2025 to Mar 27, 2026
- Individual clients · 399 to 406Mar 26, 2025 to Mar 27, 2026
- Assets in custody · $14.4M to $16.2MMar 26, 2025 to Mar 27, 2026
- Employees · 25 to 29Mar 26, 2025 to Mar 27, 2026
- Discretionary RAUM · $3.9B to $4.0BMar 26, 2025 to Mar 27, 2026
- HNW RAUM · $167M to $181MMar 26, 2025 to Mar 27, 2026
- Individual RAUM · $194M to $217MMar 26, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $275,711 to $0Mar 26, 2025 to Mar 27, 2026
- Pension RAUM · $51.4M to $62.6MMar 26, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $291M to $185MMar 26, 2025 to Mar 27, 2026
- RAUM · $3.9B to $4.0BMar 26, 2025 to Mar 27, 2026
- Wrap assets (manager) · $250M to $287MMar 26, 2025 to Mar 27, 2026
- Accounts · 790 to 517Jan 23, 2025 to Mar 26, 2025
- Charity clients · 10 to 9Jan 23, 2025 to Mar 26, 2025
- Corporate clients · 24 to 10Jan 23, 2025 to Mar 26, 2025
- HNW clients · 66 to 63Jan 23, 2025 to Mar 26, 2025
- Individual clients · 369 to 399Jan 23, 2025 to Mar 26, 2025
- Pooled vehicle clients · unset to 1.0Jan 23, 2025 to Mar 26, 2025
- Assets in custody · $13.8M to $14.4MJan 23, 2025 to Mar 26, 2025
- Employees · 27 to 25Jan 23, 2025 to Mar 26, 2025
- Financial planning clients · 11-25 to 11-25Jan 23, 2025 to Mar 26, 2025
- State-registered IARs · 5 to 3Jan 23, 2025 to Mar 26, 2025
- Private funds · unset to 1Jan 23, 2025 to Mar 26, 2025
- Discretionary RAUM · $3.8B to $3.9BJan 23, 2025 to Mar 26, 2025
- HNW RAUM · $154M to $167MJan 23, 2025 to Mar 26, 2025
- Individual RAUM · $170M to $194MJan 23, 2025 to Mar 26, 2025
- Non-discretionary RAUM · $243,653 to $275,711Jan 23, 2025 to Mar 26, 2025
- Pension RAUM · $49.2M to $51.4MJan 23, 2025 to Mar 26, 2025
- Pooled vehicle RAUM · unset to 290812355.0Jan 23, 2025 to Mar 26, 2025
- RAUM · $3.8B to $3.9BJan 23, 2025 to Mar 26, 2025
- Wrap assets (manager) · $226M to $250MJan 23, 2025 to Mar 26, 2025
- Related adviser · false to trueMar 28, 2024 to Jan 23, 2025
- Accounts · 751 to 790Mar 27, 2023 to Mar 28, 2024
- Charity clients · 15 to 10Mar 27, 2023 to Mar 28, 2024
- Corporate clients · 18 to 24Mar 27, 2023 to Mar 28, 2024
- HNW clients · 69 to 66Mar 27, 2023 to Mar 28, 2024
Signals
17 dated events
- John Robert Denger left Winthrop Capital Management for Oxford Financial Group, Ltd (registered 2024-05-21)May 1, 2024 · Advisor changed firm · fact
- Winthrop Capital Management reported RAUM $3.8B, up 34% from $2.8B (2023-03-27 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- Winthrop Capital Management reported RAUM $2.8B, down 37% from $4.5B (2022-03-29 to 2023-03-27)Mar 27, 2023 · RAUM change · derived
- Tim William Bond left Winthrop Capital Management for Parcion Private Wealth Llc (registered 2022-12-13)Sep 1, 2022 · Advisor changed firm · fact
- Winthrop Capital Management reported RAUM $3.9B, up 48% from $2.7B (2021-03-31 to 2021-08-18)Aug 18, 2021 · RAUM change · derived
- Winthrop Capital Management reported RAUM $2.7B, up 108% from $1.3B (2020-11-30 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- Winthrop Capital Management reported RAUM $1.3B, up 88% from $679.8M (2019-08-14 to 2020-04-01)Apr 1, 2020 · RAUM change · derived
- Hinch Lowry Bayley (Chairman Of The Board, Director) no longer on Schedule A of Winthrop Capital Management (listed 2019-08-14, absent 2020-04-01)Apr 1, 2020 · Control person left · inference
- Forrest Brian Cooke (Board Mem) no longer on Schedule A of Winthrop Capital Management (listed 2019-08-14, absent 2020-04-01)Apr 1, 2020 · Control person left · inference
- Christopher John Cooke (Board Member, Director) no longer on Schedule A of Winthrop Capital Management (listed 2019-08-14, absent 2020-04-01)Apr 1, 2020 · Control person left · inference
- R James Dickson (Board Member, Director, President) no longer on Schedule A of Winthrop Capital Management (listed 2019-08-14, absent 2020-04-01)Apr 1, 2020 · Control person left · inference
- Paul Kevin Chase (Chief Compliance Officer) no longer on Schedule A of Winthrop Capital Management (listed 2019-08-14, absent 2020-04-01)Apr 1, 2020 · Control person left · inference
- Paul Kevin Chase (Chief Compliance Officer) appeared on Schedule A of Winthrop Capital ManagementFeb 28, 2019 · Control person joined · fact
- Carl John Swhear (Chief Compliance Officer) no longer on Schedule A of Winthrop Capital Management (listed 2018-10-31, absent 2019-02-28)Feb 28, 2019 · Control person left · inference
- F Mark Bayley (Trustee) no longer on Schedule A of Winthrop Capital Management (listed 2018-10-31, absent 2019-02-28)Feb 28, 2019 · Control person left · inference
- A Cheryl Bayley-Young (Trustee) no longer on Schedule A of Winthrop Capital Management (listed 2018-10-31, absent 2019-02-28)Feb 28, 2019 · Control person left · inference
- Winthrop Capital Management reported RAUM $572.9M, up 119% from $261.3M (2017-09-25 to 2018-03-26)Mar 26, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- Winthrop Capital Management · Independent Sponsorsshared crd · capital_provider
- Winthrop Capital Management · Private Equityshared crd · organization
- Winthrop Capital Management · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/winthrop-capital-managementreportedpublic record, Form ADV, Sep 17, 2026
- Website
- winthropis.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 317-663-7500reportedpublic record, Form ADV, Mar 27, 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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $993Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026