WINTHROP PARTNERS - WNY, LLC
Adviser information for WINTHROP PARTNERS - WNY, LLC last updated from Form ADV on March 29th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | New York, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 4 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 269 | $146.1M |
| Non-Discretionary | 8 | $2.0M |
| Total | 277 | $148.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 248 | $61.7M |
| HNW Individuals | 25 | $84.4M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | <5 | $2.0M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $330 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesEducational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-106948 |
|---|---|
| SEC ERA File Number | 801-106948 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 282100 |
| Legal Entity Identifier | None |
Principal Office
295 MAIN STREETSUITE 840
BUFFALO
NY
United States
Monday - Friday, 9AM-5PM
Tel: 716-322-7478, Fax: None
Chief Compliance Officer
KELLY CHRISTOPHER
P.O. BOX 11550
OVERLAND PARK
KS
United States
Tel:
913-239-0100
Fax:
913-828-0932
K************@*******************M
(Full email address available in API data)
Regulatory Contact
KYLE BUBECK
DEPUTY COMPLIANCE OFFICER
P.O. BOX 11550
OVERLAND PARK
KS
United States
Tel:
913-239-0100
Fax:
913-828-0932
K*******@*******************M
(Full email address available in API data)
Industry Affiliates
| WINTHROP PARTNERS - EPA, LLC | Other investment adviser, including financial planners |
| WINTHROP PARTNERS - WPA , LLC | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SAUNDERS, THOMAS, JOHN | Individual | – | MANAGING MEMBER | 11/2015 | 25-50% |
| WERNER, ROBERT, BRIAN | Individual | – | CO-MANAGING MEMBER AND CIO | 07/2017 | 25-50% |
| CARNEY, RYAN | Individual | – | MEMBER, TRADER | 07/2017 | 5-10% |
| CHRISTOPHER, KELLY, MELISSA | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2023 | < 5% |