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••••• F•••••••• L••
Latest filing Jun 29, 2026
First filing on the tape Aug 4, 2021 · 20 filings
SEC status approved since Sep 13, 2024
RAUM
$223M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$222M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$31.9M
derived; firm RAUM over IAPD count
Employees
7
6 advisory (5.B.1)
Offices
6
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$223M as of Jun 29, 2026
Mar 20, 2022$37.6M then
HNW client RAUM$151M as of Jun 29, 2026
Mar 20, 2022$0 then
State-registered IARs (5.B.3)6 as of Jun 29, 2026
Mar 20, 20221 then
Employees (5.A)7 as of Jun 29, 2026
Mar 20, 20221 then
Private funds: no history
RAUM +46% over the last fiscal yearIARs 5 to 6offices 5 to 6
Practice profile
derived from the filing of Jun 29, 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
- $31.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 39derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $357,536derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived7 offices incl. principal (1.F.5)
- RAUM growth, one year
- +46%derivedbetween the last two annual amendments
- Advisor growth, one year
- +20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +32%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $223MreportedItem 5.I
- Custody
- $144M, 192 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$151M68%
- Individuals$71.7M32%
- Corporations and businesses$632,9930.3%
- Individual clients
- 197reported
- HNW clients
- 73reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 624reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $144M for 192 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• P•••••• C••••••Chartered Financial Analyst | Boston, Ma | Sep 3, 2021 | 16 y | 2 |
| Z•••••• J••• C•••••Certified Financial Planner, Chartered Financial Consultant | Andover, Ma | Dec 6, 2023 | 11 y | 4 |
| J••••• L••••• | Boston, Ma | May 13, 2024 | 18 y | 2 |
| L•••• P• P•••••••Certified Financial Planner | Danvers, Ma | Jun 10, 2024 | 9 y | 1 |
| F•••• V••••• M•••••• | Boston, Ma | Jul 26, 2024 | 12 y | 0 |
| J••••• L• D•••• | Fort C••••••, Co | Jun 20, 2025 | 16 y | 7 |
| A••••• P•••• C•••••• | Boston, Ma | Apr 16, 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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- J••••• L• D•••• from S•••••• C••••••Jun 20, 2025 · RIA to RIA
- L•••• P• P••••••• from J••• H•••••• P••••••• F•••••••• S•••••••• L••Jun 10, 2024 · Affiliated broker-dealer or bank to independent RIA
- J••••• L••••• from E••••• J••••May 13, 2024 · Affiliated broker-dealer or bank to independent RIA
- Z•••••• J••• C••••• from J••• H•••••• P••••••• F•••••••• S•••••••• L••Dec 6, 2023 · Affiliated broker-dealer or bank to independent RIA
- M•••••• P•••••• C•••••• from C•••••••Sep 3, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• M••••••• P•••••• · Managing Member / Chief Executive Officer / Chief Compliance Officercontrolsince 09/2021 · owns 75% or more
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 | 7 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Apr 6, 2026RAUM (Item 5.F) moved from $153,250,285 to $223,102,763 (+46.0%) between the annual amendments of 2025-03-25 and 2026-04-06; the peer median change was +15.0% (4550 comparable advisers, 95.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 95% percentile
- HNW share shiftChange between filings · filing Apr 6, 2026HNW share of RAUM moved from 31.0% to 68.0% between the annual amendments of 2025-03-25 and 2026-04-06peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 466 to 624Jun 23, 2025 to Feb 27, 2026
- Advisory employees · 5 to 6Jun 23, 2025 to Feb 27, 2026
- BD registered reps · 1 to 0Jun 23, 2025 to Feb 27, 2026
- HNW clients · 144 to 73Jun 23, 2025 to Feb 27, 2026
- Individual clients · 60 to 197Jun 23, 2025 to Feb 27, 2026
- Assets in custody · unset to 143919189.0Jun 23, 2025 to Feb 27, 2026
- Custody of client assets · false to trueJun 23, 2025 to Feb 27, 2026
- Employees · 5 to 7Jun 23, 2025 to Feb 27, 2026
- Insurance-licensed employees · 1 to 0Jun 23, 2025 to Feb 27, 2026
- Financial planning clients · 101-250 to 0Jun 23, 2025 to Feb 27, 2026
- State-registered IARs · 5 to 6Jun 23, 2025 to Feb 27, 2026
- Discretionary RAUM · $153M to $223MJun 23, 2025 to Feb 27, 2026
- HNW RAUM · $47.4M to $151MJun 23, 2025 to Feb 27, 2026
- Individual RAUM · $106M to $71.7MJun 23, 2025 to Feb 27, 2026
- RAUM · $153M to $223MJun 23, 2025 to Feb 27, 2026
- Financial planning clients · 101-250 to 101-250Mar 25, 2025 to Jun 23, 2025
- Other offices · 5 to 6Mar 25, 2025 to Jun 23, 2025
- Other offices · 4 to 5Feb 13, 2025 to Mar 25, 2025
- Accounts · 377 to 466Oct 29, 2024 to Feb 13, 2025
- Advisory employees · 2 to 5Oct 29, 2024 to Feb 13, 2025
- HNW clients · unset to 144.0Oct 29, 2024 to Feb 13, 2025
- Individual clients · 139 to 60Oct 29, 2024 to Feb 13, 2025
- Employees · 4 to 5Oct 29, 2024 to Feb 13, 2025
- Financial planning clients · 26-50 to 101-250Oct 29, 2024 to Feb 13, 2025
- State-registered IARs · 2 to 5Oct 29, 2024 to Feb 13, 2025
- Other offices · 3 to 4Oct 29, 2024 to Feb 13, 2025
- Discretionary RAUM · $124M to $153MOct 29, 2024 to Feb 13, 2025
- HNW RAUM · unset to 47350526.0Oct 29, 2024 to Feb 13, 2025
- Individual RAUM · $124M to $106MOct 29, 2024 to Feb 13, 2025
- RAUM · $124M to $153MOct 29, 2024 to Feb 13, 2025
- Other offices · 2 to 3Oct 11, 2024 to Oct 29, 2024
- Insurance-licensed employees · 0 to 1Aug 16, 2024 to Oct 11, 2024
- BD registered reps · 0 to 1Jun 20, 2022 to Aug 16, 2024
- Accounts · 109 to 377Jun 20, 2022 to Aug 16, 2024
- Advisory employees · 1 to 2Jun 20, 2022 to Aug 16, 2024
- HNW clients · 40.0 to unsetJun 20, 2022 to Aug 16, 2024
- Individual clients · 40 to 139Jun 20, 2022 to Aug 16, 2024
- Employees · 1 to 4Jun 20, 2022 to Aug 16, 2024
- HQ city · unset to BOSTONJun 20, 2022 to Aug 16, 2024
- HQ state · unset to MAJun 20, 2022 to Aug 16, 2024
Signals
3 dated events
- P•••••• M•••••• C•••••• (Managing Member / Chief Executive Officer / Chief Compliance Officer) appeared on Schedule A of W••••• F•••••••• L••Sep 3, 2021 · Control person joined · fact
- E••••• C••••••••• W••• (Chief Compliance Officer) no longer on Schedule A of W••••• F•••••••• L•• (listed 2021-08-04, absent 2021-09-03)Sep 3, 2021 · Control person left · inference
- W••••• F•••••••• L•• filed its initial SEC registration (Form ADV)Aug 4, 2021 · 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
- Firm profile
- linkedin.com/company/wincap-financialreportedpublic record, Form ADV, Sep 18, 2026
- Website
- wincapfinancial.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (617) 590-3250reportedpublic record, Form ADV, Jun 29, 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
- $31.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026