WAINWRIGHT INVESTMENT COUNSEL LLC
Adviser information for WAINWRIGHT INVESTMENT COUNSEL LLC last updated from Form ADV on March 28th, 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 | 16 |
|---|---|
| Investment Advisory/Research | 10 |
| Registered Broker-Dealer Representatives | 16 |
| Registered State Investment Advisers | 12 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 4 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 57 | $105.4M |
| Non-Discretionary | 153 | $4.8B |
| Total | 210 | $4.9B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 73 | $32.2M |
| HNW Individuals | 99 | $1.4B |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 1 | $15.0M |
| Pension and profit sharing plans | <5 | $4.2M |
| Charitable organizations | 14 | $170.9M |
| State or municipal gov entities | 10 | $2.7B |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 8 | $21.2M |
| Other | <5 | $590.9M |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 9 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)Educational seminars/workshopsBESPOKE ADVISORY AND CONSULT, SOLICIT FEES |
|---|---|
| Compensation | % of AUMFixed feesPerformance-based feesBESPOKE ADVISORY AND CONSULTING SERVICES |
Principal Office
ONE BOSTON PLACE41ST FLOOR
BOSTON
MA
United States
Monday - Friday, 9:00 AM TO 5:00 PM
Tel: 617-531-3100, Fax: 617-531-3140
Chief Compliance Officer
MARGARET LEONARD
CHIEF COMPLIANCE OFFICER
ONE BOSTON PLACE
41ST FLOOR
BOSTON
MA
United States
Tel:
617-531-3117
Fax:
617-531-3140
M*******@**************M
(Full email address available in API data)
Industry Affiliates
| WAINWRIGHT CAPITAL PARTNERS, LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| WAINWRIGHT GLOBAL CAPITAL, LP | Sponsor, GP, manager of pooled investment vehicles |
| WFS, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| WAINWRIGHT RENAISSANCE FUND 1, L.P. (SERIES A LIMITED PARTNERSHIP INTERESTS) | Hedge Fund | $15.1M | $0.1M | 12 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BERTONAZZI, ERIC, PAUL | Individual | – | CHAIRMAN OF WAINWRIGHT BOARD, CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER | 07/2013 | 10-25% |
| ARISTIZABAL, GUSTAVO, ADOLFO | Individual | – | MEMBER OF WAINWRIGHT BOARD, PRESIDENT AND CORPORATE SECRETARY | 11/2015 | 5-10% |
| MARTINS, PAUL, GEORGE | Individual | – | MEMBER OF WAINWRIGHT BOARD, CHIEF FINANCIAL OFFICER, CHIEF ADMINISTRATIVE OFFICER | 07/2013 | < 5% |
| BARRETT, STEPHEN, DALTON | Individual | – | MEMBER OF WAINWRIGHT BOARD | 01/2005 | 10-25% |
| SENEY, MATTHEW, KIRK | Individual | – | CHIEF OPERATING OFFICER, DEPUTY CHIEF INVESTMENT OFFICER | 07/2013 | < 5% |
| FABRIZIO, JEFFREY, DAVID | Individual | – | DIRECTOR OF RESEARCH | 07/2013 | < 5% |
| CLARK, ROBERT, LEE | Individual | – | OWNER | 12/2013 | < 5% |
| LEONARD, MARGARET, LORENE | Individual | – | CHIEF COMPLIANCE OFFICER | 12/2015 | < 5% |