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.
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SEC-registered adviser
W••••••• P••••••• • E••• L••
Latest filing Jul 22, 2026
First filing on the tape Nov 13, 2015 · 32 filings
SEC status approved since Nov 24, 2015
RAUM
$82.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$78.8M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$27.4M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$82.2M as of Jul 22, 2026
Feb 8, 2016$0 then
HNW client RAUM$45.6M as of Jul 22, 2026
Jan 19, 2018$998,431 then
State-registered IARs (5.B.3)3 as of Jul 22, 2026
Feb 8, 20161 then
Employees (5.A)5 as of Jul 22, 2026
Feb 8, 20161 then
Private funds: no history
RAUM +37% over the last fiscal year+36% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jul 22, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- $27.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 57derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $472,160derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 1.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +37%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +39%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$45.6M55%
- Individuals$33.3M40%
- Pension and profit-sharing plans$3.3M4.0%
- Individual clients
- 155reported
- HNW clients
- 17reported
- Pension plan clients
- 2reported
- Charitable clients
- 0reported
- Accounts
- 174reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• B•••• W•••••Certified Financial Planner, Chartered Financial Analyst | Orchard, Ny | Jan 22, 2018 | 17 y | 4 |
| T••••• B•••••• | Doylestown, Pa | Dec 20, 2018 | 13 y | 0 |
| K•••• U•••• S••••••• | Orchard, Ny | Nov 3, 2025 | 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 headcount0 left over 36 months
Left, latest
- W•••••• S•••• J• to D•• V•• R••••••••• A•• I••••••••• S••••••• I••Sep 12, 2022 · RIA to a state-registered adviser
Joined, latest
- W•••••• S•••• J• from P•• W••••• M•••••••••Jun 16, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••••• T•••••• J••• · Co-Managing Member & Coocontrolsince 11/2015 · owns 50% to 75%
- W•••••• R•••••• B•••• · Co-Managing Member And Ciocontrolsince 07/2017 · owns 50% to 75%
- C••••••••• K••••• M•••••• · Chief Compliance Officersince 03/2023 · owns less than 5%
Related persons
Schedule D 7.A
- W••••••• P••••••• • W••• L••investment advisernRAUM $186M
- W••••••• P••••••• • W•• • L••investment advisernRAUM $44.1M
Advisers that list W••••••• P••••••• • E••• L•• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Orchard, Ny · principal | 3 | 1 | 0 | ||
| Doylestown, Pa | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Doylestown, PA4 employees
- Pittsburgh, PA2 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Apr 7, 2026RAUM (Item 5.F) moved from $59,785,081 to $82,155,830 (+37.0%) between the annual amendments of 2025-03-27 and 2026-04-07; the peer median change was +8.0% (219 comparable advisers, 95.0th percentile of changes)peers: independent wealth managers, under $100M (219) · 95% percentile
What changed
consecutive filings, newest first
- HQ city · BUFFALO to ORCHARDApr 7, 2026 to Jul 22, 2026
- Accounts · 127 to 174Jan 5, 2026 to Mar 30, 2026
- Charity clients · 1 to 0Jan 5, 2026 to Mar 30, 2026
- HNW clients · 11 to 17Jan 5, 2026 to Mar 30, 2026
- Individual clients · 113 to 155Jan 5, 2026 to Mar 30, 2026
- Employees · 4 to 5Jan 5, 2026 to Mar 30, 2026
- Discretionary RAUM · $59.8M to $82.2MJan 5, 2026 to Mar 30, 2026
- HNW RAUM · $28.5M to $45.6MJan 5, 2026 to Mar 30, 2026
- Individual RAUM · $22.0M to $33.3MJan 5, 2026 to Mar 30, 2026
- Pension RAUM · $7.4M to $3.3MJan 5, 2026 to Mar 30, 2026
- RAUM · $59.8M to $82.2MJan 5, 2026 to Mar 30, 2026
- Financial planning clients · 0 to 0Mar 27, 2025 to Sep 3, 2025
- Accounts · 85 to 127Mar 29, 2024 to Mar 27, 2025
- Advisory employees · 4 to 3Mar 29, 2024 to Mar 27, 2025
- Charity clients · 0 to 1Mar 29, 2024 to Mar 27, 2025
- HNW clients · 8 to 11Mar 29, 2024 to Mar 27, 2025
- Individual clients · 73 to 113Mar 29, 2024 to Mar 27, 2025
- Pension plan clients · 0 to 2Mar 29, 2024 to Mar 27, 2025
- Discretionary RAUM · $42.2M to $59.8MMar 29, 2024 to Mar 27, 2025
- HNW RAUM · $20.7M to $28.5MMar 29, 2024 to Mar 27, 2025
- Individual RAUM · $13.6M to $22.0MMar 29, 2024 to Mar 27, 2025
- Pension RAUM · $6.3M to $7.4MMar 29, 2024 to Mar 27, 2025
- RAUM · $42.2M to $59.8MMar 29, 2024 to Mar 27, 2025
- Accounts · 52 to 85Mar 31, 2023 to Mar 29, 2024
- Advisory employees · 3 to 4Mar 31, 2023 to Mar 29, 2024
- Individual clients · 41 to 73Mar 31, 2023 to Mar 29, 2024
- Employees · 3 to 4Mar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $32.9M to $42.2MMar 31, 2023 to Mar 29, 2024
- HNW RAUM · $17.9M to $20.7MMar 31, 2023 to Mar 29, 2024
- Individual RAUM · $6.6M to $13.6MMar 31, 2023 to Mar 29, 2024
- Pension RAUM · $6.9M to $6.3MMar 31, 2023 to Mar 29, 2024
- RAUM · $32.9M to $42.2MMar 31, 2023 to Mar 29, 2024
- Accounts · 45 to 52May 12, 2022 to Mar 31, 2023
- Advisory employees · 4 to 3May 12, 2022 to Mar 31, 2023
- HNW clients · 9 to 8May 12, 2022 to Mar 31, 2023
- Individual clients · 34 to 41May 12, 2022 to Mar 31, 2023
- Employees · 4 to 3May 12, 2022 to Mar 31, 2023
- State-registered IARs · 4 to 3May 12, 2022 to Mar 31, 2023
- Discretionary RAUM · $32.9M to $32.9MMay 12, 2022 to Mar 31, 2023
- HNW RAUM · $21.2M to $17.9MMay 12, 2022 to Mar 31, 2023
Signals
5 dated events
- Roger Kyle Bubeck (Chief Compliance Officer) no longer on Schedule A of W••••••• P••••••• • E••• L•• (listed 2022-05-12, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- W•••••• S•••• J• left W••••••• P••••••• • E••• L•• for D•• V•• R••••••••• A•• I••••••••• S••••••• I•• (registered 2024-08-28)Sep 12, 2022 · Advisor changed firm · fact
- Roger Kyle Bubeck (Chief Compliance Officer) appeared on Schedule A of W••••••• P••••••• • E••• L••Mar 31, 2020 · Control person joined · fact
- Ann Deborah Stauring (Chief Compliance Officer) no longer on Schedule A of W••••••• P••••••• • E••• L•• (listed 2019-02-01, absent 2020-03-31)Mar 31, 2020 · Control person left · inference
- L••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Nov 13, 2015 · 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.
How to reach
public business contact points only, each with its source
- Business phone
- 267-454-7551reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 267-454-7552reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 412-281-1470reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- W•••••••PARTNERS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 716-508-8178reportedpublic record, Form ADV, Jul 22, 2026
- Team page
- winthroppartners.com/our-teamreportedpublished by the firm, firm site, Sep 16, 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
- $27.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026