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••••••• W•••••
Legal name W••••••• A••••••• G••••• L••
Latest filing Aug 17, 2026
First filing on the tape Apr 14, 2017 · 34 filings
SEC status approved since Apr 28, 2017
RAUM
$3.1B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
95%
$2.9B individuals and HNW
Advisors
28
registered through the firm on IAPD
RAUM per advisor
$111M
derived; firm RAUM over IAPD count
Employees
40
27 advisory (5.B.1)
Offices
18
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$3.1B as of Aug 17, 2026
Mar 21, 2018$1.1B then
HNW client RAUM$2.5B as of Aug 17, 2026
Mar 21, 2018$527M then
State-registered IARs (5.B.3)27 as of Aug 17, 2026
Mar 21, 20189 then
Employees (5.A)40 as of Aug 17, 2026
Mar 21, 201810 then
Private funds: no history
RAUM +19% over the last fiscal year+19% a year over threeIARs 22 to 27offices 16 to 18
Practice profile
derived from the filing of Aug 17, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $111MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 86derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $709,856derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 2.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 1.5derived19 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +18%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $3.0BreportedItem 5.I
- Custody
- $1.4B, 1,283 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)
- has custody of client cash or bank accounts (9.A.1.a)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$2.5B80%
- Individuals$440M14%
- Corporations and businesses$91.9M3.0%
- Pension and profit-sharing plans$51.5M1.7%
- Charitable organizations$23.9M0.8%
- Individual clients
- 1,662reported
- HNW clients
- 743reported
- Pension plan clients
- 20reported
- Charitable clients
- 19reported
- Accounts
- 4,369reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $1.4B for 1,283 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
28 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E••• B•••• W••••••• | Boston, Ma | May 16, 2017 | 40 y | 1 |
| L•••• A•••••••• W••••••• | Boston, Ma | Oct 11, 2017 | 13 y | 1 |
| R•••••• C•••••• S•• O••• | Boston, Ma | Oct 11, 2017 | 23 y | 1 |
| E••••• T••••• B••••Chartered Financial Analyst | Boston, Ma | Oct 11, 2017 | 29 y | 1 |
| R••••• E••• Z•••Certified Financial Planner | Boston, Ma | Oct 16, 2017 | 10 y | 1 |
| M••• S••••• W••••••• | Denver, Co | Oct 16, 2017 | 39 y | 1 |
| P•••• T••••• J•••••••Certified Financial Planner, Chartered Financial Consultant | Boston, Ma | Oct 16, 2017 | 29 y | 3 |
| G•••••• P••• C•••••••••Certified Financial Planner | Boston, Ma | Mar 19, 2018 | 24 y | 2 |
| M•• G••••• W••••••• | Westborough, Ma | Mar 19, 2018 | 12 y | 0 |
| A••••• J••••• M•••••Chartered Financial Analyst | Westborough, Ma | Mar 19, 2018 | 12 y | 1 |
| K•••••• J•••• D•••Certified Financial Planner, Chartered Financial Analyst | Bedford, Nh | May 7, 2018 | 26 y | 4 |
| D••••• L• C•••••Certified Financial Planner, Chartered Financial Consultant | Bellingham, Ma | Jun 18, 2019 | 21 y | 1 |
| R•••••• A••••• B••••Certified Financial Planner | Westport, Ct | Aug 12, 2020 | 33 y | 5 |
| S••••• A••• O•••••Certified Financial Planner | Boston, Ma | Aug 20, 2020 | 19 y | 0 |
| J••••••• P•••• H••••• | Boston, Ma | Nov 10, 2021 | 15 y | 4 |
| H••••• A••• S•••••••• | Boston, Ma | Oct 4, 2022 | 12 y | 3 |
| F•••••••• M• L•••• | Boston, Ma | Nov 2, 2022 | 13 y | 1 |
| A•••• M•••••• M••••Certified Financial Planner | Bellevue, Wa | Nov 15, 2022 | 12 y | 2 |
| D•••• M•••••• M•••••••Certified Financial Planner, Chartered Financial Consultant | Boston, Ma | Nov 15, 2022 | 26 y | 7 |
| R••••• J•••• R•••••Certified Financial Planner | Boston, Ma | Nov 15, 2022 | 18 y | 6 |
| A•••• M••••••• L••••Certified Financial Planner | Bellevue, Wa | Nov 15, 2022 | 24 y | 6 |
| S••• W••••••• | Denver, Co | Apr 19, 2023 | 11 y | 0 |
| M•••••• J••••• M••••••Chartered Financial Analyst | Boston, Ma | May 22, 2025 | 10 y | 0 |
| C•••• M• L••••••••• | Boston, Ma | Jun 26, 2025 | 12 y | 0 |
| D•••• W•••••• M••••• | Boston, Ma | Sep 3, 2025 | 28 y | 1 |
| S•••• C•••• | Boston, Ma | Apr 10, 2026 | 17 y | 1 |
| R••••• A••••••••Certified Financial Planner, Chartered Financial Consultant | Boston, Ma | Apr 10, 2026 | 12 y | 1 |
| J••••• M• A••••••• | Boston, Ma | Jul 9, 2026 | 11 y | 0 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- M••••• W•••••• P••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••Nov 12, 2019 · RIA to affiliated broker-dealer or bank
Joined, latest
- S•••• C•••• from E•••• S••••••••• L••Apr 10, 2026 · Affiliated broker-dealer or bank to independent RIA
- R••••• A•••••••• from E•••• S••••••••• L••Apr 10, 2026 · Affiliated broker-dealer or bank to independent RIA
- D•••• W•••••• M••••• from M••••• A•••• M••••••••• I•••Sep 3, 2025 · Other
- D•••• M•••••• M••••••• from P•••••• A•••••• G••••• L••Nov 15, 2022 · Affiliated broker-dealer or bank to independent RIA
- A•••• M••••••• L•••• from P•••••• A•••••• G••••• L••Nov 15, 2022 · Affiliated broker-dealer or bank to independent RIA
- R••••• J•••• R••••• from P•••••• A•••••• G••••• L••Nov 15, 2022 · Affiliated broker-dealer or bank to independent RIA
- A•••• M•••••• M•••• from P•••••• A•••••• G••••• L••Nov 15, 2022 · Affiliated broker-dealer or bank to independent RIA
- F•••••••• M• L•••• from E•••• V•••• M•••••••••Nov 2, 2022 · Other
- H••••• A••• S•••••••• from S•••••••• I••••••••• A•••••••• L••Oct 4, 2022 · RIA to RIA
- J••••••• P•••• H••••• from J••• H•••••• I••••••••• M••••••••• L••Nov 10, 2021 · Other
- R•••••• A••••• B•••• from U•••••• W••••• M••••••••• L••Aug 12, 2020 · RIA to RIA
- D••••• L• C••••• from J••• H•••••• D••••••••• L••Jun 18, 2019 · Other
- K•••••• J•••• D••• from P••• F•••••••• M••••••••• I••May 7, 2018 · Other
- G•••••• P••• C••••••••• from C•••••• L••Mar 19, 2018 · Other
- A••••• J••••• M••••• from S••••••• F•••••••• P•••••••• L••Mar 19, 2018 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from E•••• S••••••••• L••Apr 13, 2026 · Natick, Ma
- 3 joined from L•• F•••••••• L••Jan 8, 2025 · Westborough, Ma
- 4 joined from P•••••• A•••••• G••••• L••Dec 2, 2022 · Bellevue, Wa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••••• M••••••• G• · Chief Technology Officercontrolsince 04/2017 · owns less than 5%
- M•••••• A•••••• J••••• · Co-Chief Investment Officercontrolsince 02/2021 · owns less than 5%
- S••••••••• H•••••• A••• · Director Of Operations And Client Service, Executivecontrolsince 01/2023 · owns less than 5%
- S•• O•••• P••• R••••••• C•••••• · Chief Compliance Officercontrolsince 04/2017 · owns less than 5%
- W•••••••• E•••• B•••• · Managing Member (Class A), Elected Managercontrolsince 12/2022 · owns 25% to 50%
- W•••••••• L••••• A•••••••• · Chief Operating Officer, Elected Managercontrolsince 12/2022 · owns less than 5%
- W•••••••• M•••• S••••• · Managing Member (Class A And B), Elected Managercontrolsince 12/2022 · owns 25% to 50%
- W•••••••• M••• G••••• · Chief Executive Officer, Elected Managercontrolsince 12/2022 · owns less than 5%
- W•••••••• L••••• A•••••••• · Trusteesince 12/2020 · owns F of W••••••• F••••• I••••••••• T••••
- W•••••••• M••• G••••• · Trusteesince 12/2020 · owns F of W••••••• F••••• I••••••••• T••••
Entity owners
- L•• C•••••• P•••••••• I••• · Member (Class C)direct · owns 10% to 25%
- W••••••• F••••• I••••••••• · Trust (Class B)direct · owns 25% to 50%
- W••••••• F••••• I••••••••• T•••• · Trust (Class B)direct · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Boston, Ma · principal | 28 | 3 | 0 | ||
| Westborough, Ma | 5 | 0 | 0 | ||
| Bellevue, Wa | 4 | 0 | 0 | ||
| Denver, Co | 2 | 0 | 0 | ||
| S••••Sdale, Az | 2 | 0 | 0 | ||
| Wakefield, Ma | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Bellevue, WA3 employees
- S••••Sdale, AZ2 employees
- Wakefield, MA2 employees
- , 1 employees
- Bellingham, WA1 employees
- Westborough, MA1 employees
- Westport, CT1 employees
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Aug 17, 2026W•••••••• M•••• S••••• (MANAGING MEMBER (CLASS A AND B), ELECTED MANAGER) left Schedule A between the filings of 2023-02-24 and 2026-08-17peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Aug 17, 2026S•• O•••• P••• R••••••• C•••••• (CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2023-02-24 and 2026-08-17peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Aug 17, 2026B•••••••• M••••••• G• (CHIEF TECHNOLOGY OFFICER) left Schedule A between the filings of 2023-02-24 and 2026-08-17peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Other offices · 19 to 18Jun 16, 2026 to Aug 17, 2026
- Advisory employees · 25 to 27Mar 31, 2026 to Jun 16, 2026
- Employees · 38 to 40Mar 31, 2026 to Jun 16, 2026
- State-registered IARs · 25 to 27Mar 31, 2026 to Jun 16, 2026
- Other offices · 17 to 19Dec 6, 2025 to Mar 31, 2026
- Discretionary RAUM · $2.6B to $3.1BDec 6, 2025 to Mar 31, 2026
- HNW RAUM · $2.1B to $2.5BDec 6, 2025 to Mar 31, 2026
- Individual RAUM · $386M to $440MDec 6, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $23.6M to $26.9MDec 6, 2025 to Mar 31, 2026
- Pension RAUM · $52.2M to $51.5MDec 6, 2025 to Mar 31, 2026
- RAUM · $2.6B to $3.1BDec 6, 2025 to Mar 31, 2026
- Related insurance company · false to trueDec 6, 2025 to Mar 31, 2026
- Accounts · 3,872 to 4,369Dec 6, 2025 to Mar 31, 2026
- Advisory employees · 24 to 25Dec 6, 2025 to Mar 31, 2026
- Charity clients · 23 to 19Dec 6, 2025 to Mar 31, 2026
- Corporate clients · 38 to 37Dec 6, 2025 to Mar 31, 2026
- HNW clients · 640 to 743Dec 6, 2025 to Mar 31, 2026
- Individual clients · 1,392 to 1,662Dec 6, 2025 to Mar 31, 2026
- Pension plan clients · 24 to 20Dec 6, 2025 to Mar 31, 2026
- Assets in custody · $667M to $1.4BDec 6, 2025 to Mar 31, 2026
- Employees · 36 to 38Dec 6, 2025 to Mar 31, 2026
- State-registered IARs · 24 to 25Dec 6, 2025 to Mar 31, 2026
- Other offices · 16 to 17Jul 9, 2025 to Dec 6, 2025
- Advisory employees · 23 to 24Jun 16, 2025 to Jul 9, 2025
- Financial planning clients · 101-250 to 101-250Jun 16, 2025 to Jul 9, 2025
- State-registered IARs · 23 to 24Jun 16, 2025 to Jul 9, 2025
- Advisory employees · 22 to 23Mar 21, 2025 to Jun 16, 2025
- Insurance-licensed employees · 5 to 0Mar 21, 2025 to Jun 16, 2025
- State-registered IARs · 22 to 23Mar 21, 2025 to Jun 16, 2025
- Accounts · 3,298 to 3,872Nov 14, 2024 to Mar 21, 2025
- Advisory activities · 6 to 5Nov 14, 2024 to Mar 21, 2025
- BD registered reps · 22 to 0Nov 14, 2024 to Mar 21, 2025
- Charity clients · 21 to 23Nov 14, 2024 to Mar 21, 2025
- Corporate clients · 35 to 38Nov 14, 2024 to Mar 21, 2025
- HNW clients · 522 to 640Nov 14, 2024 to Mar 21, 2025
- Individual clients · 790 to 1,392Nov 14, 2024 to Mar 21, 2025
- Pension plan clients · 69 to 24Nov 14, 2024 to Mar 21, 2025
- Assets in custody · $1.2B to $667MNov 14, 2024 to Mar 21, 2025
- Other offices · 17 to 16Nov 14, 2024 to Mar 21, 2025
- Discretionary RAUM · $2.2B to $2.6BNov 14, 2024 to Mar 21, 2025
Signals
9 dated events
- 2 advisors left E•••• S••••••••• L•• (Natick, MA) for W••••••• W••••• on the same dayApr 13, 2026 · Team lift-out · derived
- 3 advisors left L•• F•••••••• L•• (Westborough, MA) for W••••••• W••••• on the same dayJan 8, 2025 · Team lift-out · derived
- W••••••• W••••• reported 28 state-registered advisory representatives, up from 18 (2022-11-15 to 2023-02-24)Feb 24, 2023 · ria a•••••• headcount change · derived
- Alan Harvey Slaughter (Director Of Operations And Client Service, Executive) appeared on Schedule A of W••••••• W•••••Feb 24, 2023 · Control person joined · fact
- 4 advisors left P•••••• A•••••• G••••• L•• (Bellevue, WA) for W••••••• W••••• on the same dayDec 2, 2022 · Team lift-out · derived
- J••••• Andrew Murphy (Co-Chief Investment Officer) appeared on Schedule A of W••••••• W•••••Mar 5, 2021 · Control person joined · fact
- W••••••• W••••• reported 12 state-registered advisory representatives, up from 0 (2019-08-01 to 2020-01-31)Jan 31, 2020 · ria a•••••• headcount change · derived
- G. Michael Banchick (Chief Technology Officer) appeared on Schedule A of W••••••• W•••••Mar 1, 2019 · Control person joined · fact
- W••••••• A••••••• G••••• L•• filed its initial SEC registration (Form ADV)Apr 14, 2017 · 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 email
- info@winthropwealth.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 508-366-6930reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 508-836-5500reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 617-530-1010reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/winthropwealthreportedpublic record, Form ADV, Sep 18, 2026
- Firm profile
- linkedin.com/company/keel-financialreportedpublic record, Form ADV, Sep 18, 2026
- Website
- winthropwealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 617-530-1010reportedpublic record, Form ADV, Aug 17, 2026
- Contact form
- winthropwealth.com/contactreportedpublished 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
- $111Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026