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, Evans & Crocker, Inc.

Former SEC-registered adviserBoston, MassachusettsCRD 29686SEC 801-63905IAPD
Latest filing Mar 29, 2021
First filing on the tape Dec 1, 2011 · 65 filings
RAUM
$889M
reported, Item 5.F
Discretionary
75%
of RAUM
Private clients
97%
$862M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
49
33 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
65 filings and snapshots on the tape
RAUM$889M as of Mar 9, 2021
Mar 8, 2012$267M then
HNW client RAUM$497M as of Mar 9, 2021
Jan 23, 2018$110M then
State-registered IARs (5.B.3)33 as of Mar 9, 2021
Mar 8, 20120 then
Employees (5.A)49 as of Mar 9, 2021
Feb 6, 201366 then
Private funds: no history
RAUM +6.1% over the last fiscal year+11% a year over threeIARs 38 to 33
Practice profile
derived from the filing of Mar 29, 2021; every figure names its basis
RAUM per advisor
$27.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
54derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.6MderivedHNW RAUM over HNW clients
Average account
$493,859derivedRAUM over accounts (5.F.2.f)
Discretionary
75%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
6.6derived5 offices incl. principal (1.F.5)
RAUM growth, one year
+6.1%derivedbetween the last two annual amendments
Advisor growth, one year
-13%derivedItem 5.B.3 between annual amendments
Client growth, one year
-5.8%derived
Compensation
percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, publications, educational seminarsreportedItem 5.G
Wrap fee program
$50.7MreportedItem 5.I
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
  • is a broker-dealer (6.A.1)
  • is an insurance broker or agent (6.A.6)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$497M56%
  • Individuals$365M41%
  • Corporations and businesses$27.5M3.1%
Individual clients
1,585reported
HNW clients
192reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1,801reported
Financial planning clients
11-25reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourly, commissionsreported
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
Joined, 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 05/2006 · owns less than 5%
  • Robert Malachy Cully · Senior Vice President Director Private Groupcontrol
    since 01/2011 · owns less than 5%
  • John Charles Desena · Directorcontrol
    since 01/2020 · owns less than 5%
  • Robert Bernard Maloney · Presidentcontrol
    since 12/2019 · owns less than 5%
  • Michael Anthony Mullen · Chairman. Ceocontrol
    since 01/2020 · owns less than 5%
  • Renate Von Krause-Westmacott · Principal Financial Officer. Principal Operations Officer. Financial & Operations Principalcontrol
    since 10/2018 · owns less than 5%
  • Glenn Charles Worman · Directorcontrol
    since 01/2020 · owns less than 5%
Entity owners
  • National Holdings Corporation · Sole Shareholder
    direct · owns 75% or more · public reporting company
Related persons
Schedule D 7.A
  • B1 Insurance Agency, LLC
    real estaten
  • Winslow Wealth Management LLC
    investment advisernRAUM $26.6M
  • Winslow, Evans & Crocker Insurance Agency, Inc.
    real estatey
Advisers that list Winslow, Evans & Crocker, Inc. as a related person
Offices
Schedule D 1.F, the 25 largest
  • Paramus, NJ5 employees
  • Braintree, MA1 employees
  • Lauderdale, FL1 employees
  • New York, NY1 employees
What changed
consecutive filings, newest first
  • Accounts · 1,818 to 1,801
    Mar 1, 2021 to Mar 9, 2021
  • Advisory employees · 38 to 33
    Mar 1, 2021 to Mar 9, 2021
  • BD registered reps · 53 to 46
    Mar 1, 2021 to Mar 9, 2021
  • Corporate clients · 31 to 24
    Mar 1, 2021 to Mar 9, 2021
  • HNW clients · 147 to 192
    Mar 1, 2021 to Mar 9, 2021
  • Individual clients · 1,640 to 1,585
    Mar 1, 2021 to Mar 9, 2021
  • Employees · 56 to 49
    Mar 1, 2021 to Mar 9, 2021
  • Insurance-licensed employees · 9 to 8
    Mar 1, 2021 to Mar 9, 2021
  • Financial planning clients · 26-50 to 11-25
    Mar 1, 2021 to Mar 9, 2021
  • State-registered IARs · 38 to 33
    Mar 1, 2021 to Mar 9, 2021
  • Discretionary RAUM · $484M to $670M
    Mar 1, 2021 to Mar 9, 2021
  • HNW RAUM · $348M to $497M
    Mar 1, 2021 to Mar 9, 2021
  • Individual RAUM · $334M to $365M
    Mar 1, 2021 to Mar 9, 2021
  • Non-discretionary RAUM · $224M to $219M
    Mar 1, 2021 to Mar 9, 2021
  • RAUM · $708M to $889M
    Mar 1, 2021 to Mar 9, 2021
  • Wrap assets (sponsor) · $10.7M to $0
    Mar 1, 2021 to Mar 9, 2021
  • Accounts · 1,967 to 1,818
    Mar 6, 2020 to May 7, 2020
  • Corporate clients · 80 to 31
    Mar 6, 2020 to May 7, 2020
  • HNW clients · 182 to 147
    Mar 6, 2020 to May 7, 2020
  • Individual clients · 1,705 to 1,640
    Mar 6, 2020 to May 7, 2020
  • Discretionary RAUM · $577M to $484M
    Mar 6, 2020 to May 7, 2020
  • HNW RAUM · $422M to $348M
    Mar 6, 2020 to May 7, 2020
  • Individual RAUM · $382M to $334M
    Mar 6, 2020 to May 7, 2020
  • Non-discretionary RAUM · $262M to $224M
    Mar 6, 2020 to May 7, 2020
  • RAUM · $839M to $708M
    Mar 6, 2020 to May 7, 2020
  • Wrap assets (sponsor) · $2.1M to $10.7M
    Mar 6, 2020 to May 7, 2020
  • Individual RAUM · $373M to $382M
    Aug 14, 2019 to Jan 28, 2020
  • Non-discretionary RAUM · $200M to $262M
    Aug 14, 2019 to Jan 28, 2020
  • RAUM · $738M to $839M
    Aug 14, 2019 to Jan 28, 2020
  • Related insurance company · false to true
    Aug 14, 2019 to Jan 28, 2020
  • Accounts · 1,920 to 1,967
    Aug 14, 2019 to Jan 28, 2020
  • Corporate clients · 34 to 80
    Aug 14, 2019 to Jan 28, 2020
  • HNW clients · 153 to 182
    Aug 14, 2019 to Jan 28, 2020
  • Individual clients · 1,733 to 1,705
    Aug 14, 2019 to Jan 28, 2020
  • Discretionary RAUM · $538M to $577M
    Aug 14, 2019 to Jan 28, 2020
  • HNW RAUM · $342M to $422M
    Aug 14, 2019 to Jan 28, 2020
  • Accounts · 1,835 to 1,920
    Mar 28, 2019 to May 9, 2019
  • Corporate clients · 33 to 34
    Mar 28, 2019 to May 9, 2019
  • HNW clients · 138 to 153
    Mar 28, 2019 to May 9, 2019
  • Individual clients · 1,664 to 1,733
    Mar 28, 2019 to May 9, 2019
Signals
5 dated events
  • Winslow, Evans & Crocker, Inc. reported RAUM $889.4M, up 26% from $707.9M (2021-03-01 to 2021-03-09)
    Mar 9, 2021 · RAUM change · derived
  • Glenn Charles Worman (Director) appeared on Schedule A of Winslow, Evans & Crocker, Inc.
    Jan 28, 2020 · Control person joined · fact
  • Michael Anthony Mullen (Chairman. Ceo) appeared on Schedule A of Winslow, Evans & Crocker, Inc.
    Jan 28, 2020 · Control person joined · fact
  • John Charles Desena (Director) appeared on Schedule A of Winslow, Evans & Crocker, Inc.
    Jan 28, 2020 · Control person joined · fact
  • Tina Blakeley Maloney (Chairman) no longer on Schedule A of Winslow, Evans & Crocker, Inc. (listed 2019-08-14, absent 2020-01-28)
    Jan 28, 2020 · Control person left · inference
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