WINTHROP PARTNERS - WPA , LLC
WINTHROP PARTNERS - WPA, LLC Legal Name
Adviser information for WINTHROP PARTNERS - WPA , 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 |
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Fiscal Year End | DECEMBER |
Legal Location | Pennsylvania, United States |
Employees
Total Number of Employees | 2 |
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Investment Advisory/Research | 2 |
Registered Broker-Dealer Representatives | 0 |
Registered State Investment Advisers | 2 |
Licensed Agents of an Insurance Company | 0 |
No. of Firms/People that Solicit Clients | 2 |
RAUM
Provides Management of Securities Portfolios | Yes |
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Type | Accounts | RAUM |
---|---|---|
Discretionary | 65 | $42.9M |
Non-Discretionary | 3 | $25.9M |
Total | 68 | $68.8M |
Clients
Type | Number | RAUM |
---|---|---|
Individuals | 65 | $17.2M |
HNW Individuals | 3 | $51.6M |
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 | 0 | $0 |
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 | 0 | $0 |
Other | 0 | $0 |
Type | Number |
---|---|
No. of Non-RAUM Clients | 0 |
No. of Non-U.S. Clients | 0 |
No. of Financial Planning Clients | 1-10 |
Services
Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting services |
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Compensation | % of AUMHourly chargesFixed fees |
Identifiers
SEC RIA File Number | 801-106949 |
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SEC ERA File Number | 801-106949 |
SEC CIK Numbers | None |
SEC CRD Numbers | 282102 |
Legal Entity Identifier | None |
Principal Office
295 MAIN STREETSUITE 840
BUFFALO
NY
United States
Monday - Friday, 9AM-5PM
Tel: 267-454-7551, Fax: None
Chief Compliance Officer
KELLY CHRISTOPHER
P.O. BOX 11550
OVERLAND PARK
KS
United States
Tel:
913-239-0100
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 - WNY, LLC | Other investment adviser, including financial planners |
Private Funds
Name | Type | Assets $USD | Min Investment $USD | No. Owners |
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None
Control Persons
Name | Type | Entity | Title | Since | Ownership |
---|---|---|---|---|---|
SAUNDERS, THOMAS, JOHN | Individual | – | CO-MANAGING MEMBER AND COO | 11/2015 | 50-75% |
WERNER, ROBERT, BRIAN | Individual | – | CO-MANAGING MEMBER AND CIO | 07/2017 | 50-75% |
CHRISTOPHER, KELLY, MELISSA | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2023 | < 5% |