Hedge Fund Database

WINTHROP WEALTH

WINTHROP ADVISORY GROUP, LLC Legal Name

Adviser information for WINTHROP WEALTH last updated from Form ADV on February 26th, 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 Delaware, United States

Employees

Total Number of Employees 31
Investment Advisory/Research 22
Registered Broker-Dealer Representatives 21
Registered State Investment Advisers 22
Licensed Agents of an Insurance Company 9
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 3,292 $2.2B
Non-Discretionary 6 $21.2M
Total 3,298 $2.2B

Clients

Type Number RAUM
Individuals 790 $246.7M
HNW Individuals 522 $1.8B
Banking or thrift institutions <5 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 0 $0
Pension and profit sharing plans 69 $61.5M
Charitable organizations 21 $18.8M
State or municipal gov entities <5 $0
Other investment advisers <5 $0
Insurance companies <5 $0
Sovereign wealth funds and foreign official institutions <5 $0
Corporations or other businesses 35 $74.7M
Other 0 $0
Type Number
No. of Non-RAUM Clients 29
No. of Non-U.S. Clients 1
No. of Financial Planning Clients 101-250

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)Educational seminars/workshops
Compensation % of AUMHourly chargesFixed fees

Identifiers

SEC RIA File Number 801-110461
SEC ERA File Number 801-110461
SEC CIK Numbers 1739043
SEC CRD Numbers 288178
Legal Entity Identifier None

Principal Office

109 STATE STREET
2ND FLOOR
BOSTON
MA
United States
Monday - Friday, 8:30AM - 5:30PM
Tel: 617-530-1010, Fax: 857-265-2382

Websites

www.linkedin.com/company/unified-wealth-management www.facebook.com/unifiedwealthmanagement/ www.unifiedwealth.net twitter.com/unified_wealth www.facebook.com/winthropwealth/ www.winthropwealth.com twitter.com/winthropwealth www.linkedin.com/company/winthropwealth/ www.keelfinancial.com www.linkedin.com/company/keel-financial/ twitter.com/keelfinancial www.instagram.com/winthropwealth/ www.youtube.com/@winthropwealth www.youtube.com/@unifiedwealthmanagement3714

Chief Compliance Officer

RICHARD C. ST. ONGE
WEALTH ADVISOR
109 STATE STREET
2ND FLOOR
BOSTON
MA
United States
Tel: 617-530-1010
Fax: 857-265-2382
(Full email address available in API data)

Regulatory Contact

MAX G. WINTHROP
CEO
109 STATE STREET
2ND FLOOR
BOSTON
MA
United States
Tel: 6175301010
Fax: 857-265-2382
(Full email address available in API data)

Industry Affiliates

None

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
ST. ONGE, PPC, RICHARD, CHARLES Individual – CHIEF COMPLIANCE OFFICER 04/2017 < 5%
WINTHROP, MARK, STEVEN Individual – MANAGING MEMBER (CLASS A AND B), ELECTED MANAGER 12/2022 25-50%
WINTHROP, EARL, BRYAN Individual – MANAGING MEMBER (CLASS A), ELECTED MANAGER 12/2022 25-50%
WINTHROP, LUCAS, ALEXANDER Individual – CHIEF OPERATING OFFICER, ELECTED MANAGER 12/2022 < 5%
WINTHROP, MAX, GUSTAV Individual – CHIEF OPERATING OFFICER, ELECTED MANAGER 12/2022 < 5%
BANCHICK, MICHAEL, G. Individual – CHIEF TECHNOLOGY OFFICER 04/2017 < 5%
MURPHY, ANDREW, JOSEPH Individual – CO-CHIEF INVESTMENT OFFICER 02/2021 < 5%
WINTHROP FAMILY IRREVOCABLE TRUST Domestic Entity – TRUST (CLASS B) 12/2020 25-50%
WINTHROP, LUCAS, ALEXANDER Individual WINTHROP FAMILY IRREVOCABLE TRUST TRUSTEE 12/2020
WINTHROP, MAX, GUSTAV Individual WINTHROP FAMILY IRREVOCABLE TRUST TRUSTEE 12/2020
LPL CAPITAL PARTNERS, INC. Domestic Entity – MEMBER (CLASS C) 12/2022 10-25%
SLAUGHTER, HARVEY, ALAN Individual – DIRECTOR OF OPERATIONS AND CLIENT SERVICE, EXECUTIVE 01/2023 < 5%

No. Employees, Historic

40200201920202021202220232024202519 on 6/25/201919 on 7/1/201919 on 7/23/201919 on 8/1/201917 on 1/31/202018 on 6/29/202018 on 8/5/202018 on 8/7/202018 on 9/2/202018 on 10/5/202018 on 11/24/202021 on 3/5/202121 on 9/20/202121 on 10/28/202122 on 3/4/202222 on 11/15/202228 on 2/24/202328 on 4/5/202331 on 9/7/202331 on 2/26/2024

RAUM, Historic

3B2B020192020202120222023202420251060221256 on 6/25/20191060221256 on 7/1/20191060221256 on 7/23/20191060221256 on 8/1/20191283876960 on 1/31/20201283876960 on 6/29/20201283876960 on 8/5/20201283876960 on 8/7/20201283876960 on 9/2/20201283876960 on 10/5/20201283876960 on 11/24/20201556527293 on 3/5/20211556527293 on 9/20/20211556527293 on 10/28/20211853446171 on 3/4/20221853446171 on 11/15/20221830701867 on 2/24/20231830701867 on 4/5/20231830701867 on 9/7/20232208782902 on 2/26/2024

No. Clients, Historic

2,0001,00002019202020212022202320242025647 on 6/25/2019647 on 7/1/2019647 on 7/23/2019647 on 8/1/2019736 on 1/31/2020736 on 6/29/2020736 on 8/5/2020736 on 8/7/2020736 on 9/2/2020736 on 10/5/2020736 on 11/24/2020954 on 3/5/2021954 on 9/20/2021954 on 10/28/20211117 on 3/4/20221117 on 11/15/20221349 on 2/24/20231349 on 4/5/20231349 on 9/7/20231437 on 2/26/2024

Holdings

From latest 13F, filed July 18th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ABBOTT LABS COM 344K 3K –
ABBVIE INC COM 585K 3K –
ACCENTURE PLC IRELAND SHS CLASS A 573K 2K –
ACV AUCTIONS INC COM CL A 502K 28K –
ADOBE INC COM 553K 996 –
ALPHABET INC CAP STK CL A 4M 20K –
ALPHABET INC CAP STK CL C 3M 16K –
AMARIN CORP PLC SPONS ADR NEW 7K 10K –
AMAZON COM INC COM 7M 35K –
ANALOG DEVICES INC COM 222K 971 –
APPLE INC COM 32M 154K –
APPLIED MATLS INC COM 476K 2K –
ARISTA NETWORKS INC COM 206K 588 –
ARK ETF TR INNOVATION ETF 288K 7K –
AT&T INC COM 379K 20K –
AZEK CO INC CL A 232K 6K –
BANK AMER CORP COM 1M 28K –
BERKSHIRE HATHAWAY INC DEL CL B NEW 4M 9K –
BLACKROCK ETF TRUST II FLEXIBLE INCOME 206K 4K –
BOEING CO COM 626K 3K –
BROADCOM INC COM 518K 323 –
CATERPILLAR INC COM 671K 2K –
CHEVRON CORP NEW COM 673K 4K –
CINTAS CORP COM 283K 404 –
CISCO SYS INC COM 386K 8K –
CITIGROUP INC COM 231K 4K –
COCA COLA CO COM 303K 5K –
COLGATE PALMOLIVE CO COM 219K 2K –
COMCAST CORP NEW CL A 231K 6K –
COSTCO WHOLESALE CORP COM 735K 864 –
DIMENSIONAL ETF TRUST US CORE EQUITY 2 11M 342K –
DIMENSIONAL ETF TRUST US EQUITY ETF 2M 27K –
DRAFTKINGS INC NEW COM CL A 400K 10K –
EDWARDS LIFESCIENCES CORP COM 351K 4K –
EMERSON ELEC CO COM 485K 4K –
EXXON MOBIL CORP COM 482K 4K –
FORD MTR CO DEL COM 210K 17K –
GE AEROSPACE COM NEW 238K 1K –
GOLDMAN SACHS ETF TR ACTIVEBETA INT 4M 125K –
HARTFORD FINL SVCS GROUP INC COM 214K 2K –
HONEYWELL INTL INC COM 402K 2K –
HUBSPOT INC COM 373K 632 –
INTERNATIONAL BUSINESS MACHS COM 1M 6K –
INTUIT COM 456K 694 –
INVESCO QQQ TR UNIT SER 1 54M 113K –
ISHARES INC CORE MSCI EMKT 3M 50K –
ISHARES TR U.S. INSRNCE ETF 272K 2K –
ISHARES TR MSCI INDIA ETF 210K 4K –
ISHARES TR ISHARES SEMICDTR 211K 855 –
ISHARES TR CORE S&P500 ETF 88M 161K –
ISHARES TR RUS 1000 ETF 75M 253K –
ISHARES TR NATIONAL MUN ETF 531K 5K –
ISHARES TR CORE S&P TTL STK 90M 759K –
ISHARES TR CORE S&P MCP ETF 13M 230K –
ISHARES TR BLACKROCK ULTRA 46M 917K –
ISHARES TR S&P 500 GRWT ETF 4M 47K –
ISHARES TR RUS 1000 VAL ETF 2M 14K –
ISHARES TR RUS 1000 GRW ETF 18M 50K –
ISHARES TR CORE US AGGBD ET 544K 6K –
ISHARES TR IBOXX INV CP ETF 848K 8K –
ISHARES TR MSCI USA ESG SLC 2M 15K –
ISHARES TR SELECT DIVID ETF 934K 8K –
ISHARES TR RUS MID CAP ETF 860K 11K –
ISHARES TR RUSSELL 2000 ETF 531K 3K –
ISHARES TR RUSSELL 3000 ETF 6M 19K –
ISHARES TR CORE S&P SCP ETF 388K 4K –
ISHARES TR MSCI ACWI ETF 420K 4K –
ISHARES TR MSCI ACWI EX US 426K 8K –
ISHARES TR CORE MSCI EAFE 234K 3K –
ISHARES TR PFD AND INCM SEC 293K 9K –
ISHARES TR SHRT NAT MUN ETF 296K 3K –
ISHARES TR S&P 500 VAL ETF 291K 2K –
J P MORGAN EXCHANGE TRADED F ULTRA SHRT INC 4M 77K –
JOHNSON & JOHNSON COM 1M 9K –
JPMORGAN CHASE & CO COM 3M 14K –
KARYOPHARM THERAPEUTICS INC COM 13K 15K –
KLA CORP COM NEW 862K 1K –
LILLY ELI & CO COM 2M 2K –
LIVE NATION ENTERTAINMENT INC COM 256K 3K –
LOWES COS INC COM 261K 1K –
LPL FINL HLDGS INC COM 6M 21K –
LULULEMON ATHLETICA INC COM 413K 1K –
MARKEL GROUP INC COM 515K 327 –
MASTERCARD INC CL A 1M 3K –
MCDONALDS CORP COM 699K 3K –
MERCK & CO INC COM 1M 9K –
META PLATFORMS INC CL A 3M 6K –
MICROSOFT CORP COM 11M 25K –
NETCAPITAL INC COM 10K 91K –
NETFLIX INC COM 422K 626 –
NVIDIA CORPORATION COM 3M 28K –
ORACLE CORP COM 673K 5K –
PALANTIR TECHNOLOGIES INC CL A 459K 18K –
PEPSICO INC COM 987K 6K –
PFIZER INC COM 432K 15K –
PROCTER & GAMBLE CO COM 2M 10K –
RAYTHEON TECHNOLOGIES CORP COM 413K 4K –
REGENERON PHARMACEUTICALS COM 302K 287 –
SALESFORCE COM INC COM 488K 2K –
SANGAMO THERAPEUTICS INC COM 4K 10K –
SCHWAB STRATEGIC TR US BRD MKT ETF 25M 397K –
SCHWAB STRATEGIC TR US DIVIDEND EQ 10M 126K –
SCHWAB STRATEGIC TR US LRG CAP ETF 4M 65K –
SELECT SECTOR SPDR TR ENERGY 7M 73K –
SELECT SECTOR SPDR TR TECHNOLOGY 7M 73K –
SELECT SECTOR SPDR TR FINANCIAL 214K 5K –
SERVICENOW INC COM 454K 577 –
SHOPIFY INC CL A 286K 4K –
SONOCO PRODS CO COM 203K 4K –
SOUTHWEST AIRLS CO COM 517K 18K –
SPDR DOW JONES INDL AVERAGE UT SER 1 358K 897 –
SPDR GOLD TR GOLD SHS 507K 2K –
SPDR Portfolio S&P 500 Growth ETF PORTFOLI S&P1500 2M 33K –
SPDR Portfolio Total Stock Market ETF PRTFLO S&P500 GW 30M 462K –
SPDR S&P 500 ETF TR TR UNIT 16M 31K –
SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 2M 4K –
SPDR SER TR BLOOMBERG CONV 218K 3K –
STARBUCKS CORP COM 625K 8K –
SYSCO CORP COM 294K 4K –
TESLA INC COM 1M 7K –
THE CIGNA GROUP COM 446K 1K –
THE HOME DEPOT INC COM 4M 10K –
THE WALT DISNEY COMP COM 1M 14K –
TRANE TECHNOLOGIES PLC SHS 707K 2K –
UNITED PARCEL SERVICE INC CL B 710K 5K –
UNITEDHEALTH GROUP INC COM 674K 1K –
VANECK ETF TRUST SEMICONDUCTR ETF 305K 1K –
VANGUARD INDEX FDS TOTAL STK MKT 46M 172K –
VANGUARD INDEX FDS EXTEND MKT ETF 11M 67K –
VANGUARD INDEX FDS S&P 500 ETF SHS 2M 4K –
VANGUARD INDEX FDS VALUE ETF 1M 8K –
VANGUARD INDEX FDS GROWTH ETF 940K 3K –
VANGUARD INDEX FDS LARGE CAP ETF 585K 2K –
VANGUARD INDEX FDS SM CP VAL ETF 234K 1K –
VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 5M 124K –
VANGUARD MUN BD FDS TAX EXEMPT BD 8M 160K –
VANGUARD SPECIALIZED FUNDS DIV APP ETF 3M 16K –
VANGUARD WHITEHALL FDS HIGH DIV YLD 818K 7K –
VERISK ANALYTICS INC COM 218K 809 –
VERIZON COMMUNICATIONS INC COM 299K 7K –
VISA INC COM CL A 2M 9K –
VIVID SEATS INC COM CL A 144K 25K –
WALMART INC COM 2M 25K –
WASTE MGMT INC DEL COM 270K 1K –