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.

Former SEC-registered adviser

Winslow Wealth Management LLC

Former SEC-registered adviserBoston, MassachusettsCRD 166196SEC 801-77389IAPD
Latest filing Jul 21, 2021
First filing on the tape Nov 15, 2012 · 48 filings
RAUM
$26.6M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
51%
$13.7M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
48 filings and snapshots on the tape
RAUM$26.6M as of Feb 3, 2021
Feb 11, 2013$11.0M then
HNW client RAUM$7.0M as of Feb 3, 2021
Jan 25, 2018$0 then
State-registered IARs (5.B.3)6 as of Feb 3, 2021
Feb 11, 20137 then
Employees (5.A)12 as of Feb 3, 2021
Feb 11, 20137 then
Private funds: no history
RAUM +15% over the last fiscal year+23% a year over threeIARs 6 to 1
Practice profile
derived from the filing of Jul 21, 2021; every figure names its basis
RAUM per advisor
$26.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
28derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.3MderivedHNW RAUM over HNW clients
Average account
$532,442derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
2.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+15%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+12%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$7.0M48%
  • Individuals$6.7M46%
  • Pension and profit-sharing plans$581,7744.0%
  • Corporations and businesses$358,9442.5%
Individual clients
25reported
HNW clients
3reported
Pension plan clients
1reported
Charitable clients
0reported
Accounts
50reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Leonid Berline · Chief Compliance Officercontrol
      since 12/2017 · owns less than 5%
    • Charles John Desena · Directorcontrol
      since 01/2020 · owns less than 5%
    • Anthony Michael Mullen · Chairman. Ceo.control
      since 01/2020 · owns less than 5%
    • Charles Glenn Worman · Directorcontrol
      since 01/2020 · owns less than 5%
    Entity owners
    • National Holdings Corporation · Sole Shareholder
      direct · owns 75% or more · public reporting company
    • Winslow Financial, Inc. · Member Owner
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    Advisers that list Winslow Wealth Management LLC as a related person
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Advisory employees · 6 to 1
      Feb 3, 2021 to Jul 21, 2021
    • BD registered reps · 7 to 1
      Feb 3, 2021 to Jul 21, 2021
    • Employees · 12 to 1
      Feb 3, 2021 to Jul 21, 2021
    • Insurance-licensed employees · 6 to 1
      Feb 3, 2021 to Jul 21, 2021
    • State-registered IARs · 6 to 1
      Feb 3, 2021 to Jul 21, 2021
    • Accounts · 45 to 50
      Dec 17, 2020 to Feb 3, 2021
    • BD registered reps · 8 to 7
      Dec 17, 2020 to Feb 3, 2021
    • HNW clients · 2 to 3
      Dec 17, 2020 to Feb 3, 2021
    • Individual clients · 23 to 25
      Dec 17, 2020 to Feb 3, 2021
    • Employees · 13 to 12
      Dec 17, 2020 to Feb 3, 2021
    • Discretionary RAUM · $23.1M to $26.6M
      Dec 17, 2020 to Feb 3, 2021
    • HNW RAUM · $5.7M to $7.0M
      Dec 17, 2020 to Feb 3, 2021
    • Individual RAUM · $6.5M to $6.7M
      Dec 17, 2020 to Feb 3, 2021
    • Pension RAUM · $435,928 to $581,774
      Dec 17, 2020 to Feb 3, 2021
    • RAUM · $23.1M to $26.6M
      Dec 17, 2020 to Feb 3, 2021
    • Accounts · 44 to 45
      Feb 21, 2019 to Jan 30, 2020
    • HNW clients · 0 to 2
      Feb 21, 2019 to Jan 30, 2020
    • Individual clients · 28 to 23
      Feb 21, 2019 to Jan 30, 2020
    • Other offices · 1 to 0
      Feb 21, 2019 to Jan 30, 2020
    • Discretionary RAUM · $21.7M to $23.1M
      Feb 21, 2019 to Jan 30, 2020
    • HNW RAUM · $0 to $5.7M
      Feb 21, 2019 to Jan 30, 2020
    • Individual RAUM · $10.7M to $6.5M
      Feb 21, 2019 to Jan 30, 2020
    • Pension RAUM · $347,731 to $435,928
      Feb 21, 2019 to Jan 30, 2020
    • RAUM · $21.7M to $23.1M
      Feb 21, 2019 to Jan 30, 2020
    • Related insurance company · false to true
      Feb 21, 2019 to Jan 30, 2020
    • Accounts · 64 to 44
      Sep 26, 2018 to Feb 21, 2019
    • Advisory employees · 5 to 6
      Sep 26, 2018 to Feb 21, 2019
    • BD registered reps · 6 to 8
      Sep 26, 2018 to Feb 21, 2019
    • Charity clients · 19 to 0
      Sep 26, 2018 to Feb 21, 2019
    • Corporate clients · 0 to 3
      Sep 26, 2018 to Feb 21, 2019
    • Individual clients · 21 to 28
      Sep 26, 2018 to Feb 21, 2019
    • Employees · 10 to 13
      Sep 26, 2018 to Feb 21, 2019
    • Insurance-licensed employees · 8 to 6
      Sep 26, 2018 to Feb 21, 2019
    • State-registered IARs · 8 to 6
      Sep 26, 2018 to Feb 21, 2019
    • Discretionary RAUM · $14.3M to $21.7M
      Sep 26, 2018 to Feb 21, 2019
    • Individual RAUM · $2.6M to $10.7M
      Sep 26, 2018 to Feb 21, 2019
    • Pension RAUM · $0 to $347,731
      Sep 26, 2018 to Feb 21, 2019
    • RAUM · $14.3M to $21.7M
      Sep 26, 2018 to Feb 21, 2019
    • Accounts · 67 to 64
      Jan 2, 2018 to Jan 25, 2018
    • Advisory employees · 6 to 5
      Jan 2, 2018 to Jan 25, 2018
    Signals
    7 dated events
    • Bernard Robert Maloney (Managing Member Manager) no longer on Schedule A of Winslow Wealth Management Llc (listed 2021-02-03, absent 2021-07-21)
      Jul 21, 2021 · Control person left · inference
    • Goodwin Rand Folta (Chief Investment Strategist) no longer on Schedule A of Winslow Wealth Management Llc (listed 2021-02-03, absent 2021-07-21)
      Jul 21, 2021 · Control person left · inference
    • Edward Douglas White (Chief Investment Officer) no longer on Schedule A of Winslow Wealth Management Llc (listed 2021-02-03, absent 2021-07-21)
      Jul 21, 2021 · Control person left · inference
    • Anthony Michael Mullen (Chairman. Ceo.) appeared on Schedule A of Winslow Wealth Management Llc
      Jan 30, 2020 · Control person joined · fact
    • Charles Glenn Worman (Director) appeared on Schedule A of Winslow Wealth Management Llc
      Jan 30, 2020 · Control person joined · fact
    • Charles John Desena (Director) appeared on Schedule A of Winslow Wealth Management Llc
      Jan 30, 2020 · Control person joined · fact
    • Winslow Wealth Management Llc filed its initial SEC registration (Form ADV)
      Nov 15, 2012 · First SEC registration · fact
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026