Hedge Fund Database

WINTHROP CAPITAL MANAGEMENT

WINTHROP CAPITAL MANAGEMENT, LLC Legal Name

Adviser information for WINTHROP CAPITAL MANAGEMENT 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 Indiana, United States

Employees

Total Number of Employees 27
Investment Advisory/Research 8
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 5
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 787 $3.8B
Non-Discretionary 3 $243,653
Total 790 $3.8B

Clients

Type Number RAUM
Individuals 369 $169.8M
HNW Individuals 66 $154.4M
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 10 $49.2M
Charitable organizations 10 $11.5M
State or municipal gov entities 0 $0
Other investment advisers 0 $0
Insurance companies 20 $3.3B
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses 24 $66.3M
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 11-25

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)
Compensation % of AUMHourly chargesFixed fees

Wrap Fee Program

Offers Wrap Fee Program Yes
Acting As RAUM
Sponsor 0
Portfolio Manager 225.7M
Both for Same 0
Portfolio Manager to Program Sponsor
MANAGED ACCOUNTS CONSULTING PROGRAM UBS FINANCIAL SERVICES INC.
HORIZON DUAL CONTRACT PROGRAM STIFEL, NICOLAUS & COMPANY, INC.
CUSTOM SOLUTIONS MORGAN STANLEY INVESTMENT MANAGEMENT INC.
SEPERATE ACCOUNT EXCHANGE SANCTUARY WEALTH MANAGEMENT, LLC

Identifiers

SEC RIA File Number 801-71321
SEC ERA File Number 801-71321
SEC CIK Numbers 2010657
SEC CRD Numbers 145216
Legal Entity Identifier 254900FKE6OHXHXMTW97

Principal Office

10201 N ILLINOIS STREET
SUITE 275
CARMEL
IN
United States
Monday - Friday, 9AM TO 5PM
Tel: 317-663-7500, Fax: 317-663-7501

Websites

www.winthropcm.com www.linkedin.com/company/winthrop-capital-management/ open.spotify.com/show/7fp72v9cymosurk9v2lhzc

Chief Compliance Officer

JAMES HORREY
CHIEF LEGAL COUNSEL
10201 N ILLINOIS STREET
SUITE 275
CARMEL
IN
United States
Tel: 317-663-7511
Fax: 317-663-7501
(Full email address available in API data)

Regulatory Contact

GREGORY HAHN
PRESIDENT AND CHIEF INVESTMENT OFFICER
10201 N ILLINOIS STREET
SUITE 275
CARMEL
IN
United States
Tel: (317) 663-7510
(Full email address available in API data)

Industry Affiliates

CHATHAM CAPITAL PARTNERS, LLC Sponsor, GP, manager of pooled investment vehicles

Private Funds

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

Control Persons

Name Type Entity Title Since Ownership
HAHN, GREGORY, JAMES Individual – MANAGING MEMBER AND CHIEF INVESTMENT OFFICER 01/2020 > 75%
Horrey, James, Bryan Individual – CHIEF COMPLIANCE OFFICER 08/2021 < 5%
COONS, ADAM, C Individual – PORTFOLIO MANAGER 10/2013 < 5%

No. Employees, Historic

3015020192020202120222023202420259 on 8/14/20199 on 8/14/201912 on 4/1/202012 on 6/30/202012 on 11/30/202015 on 3/31/202122 on 8/18/202124 on 3/29/202226 on 3/27/202327 on 3/28/2024

RAUM, Historic

5B3B02019202020212022202320242025679841759 on 8/14/2019679841759 on 8/14/20191281443798 on 4/1/20201281443798 on 6/30/20201281443798 on 11/30/20202660630918 on 3/31/20213941455608 on 8/18/20214474430179 on 3/29/20222833486915 on 3/27/20233796591805 on 3/28/2024

No. Clients, Historic

60030002019202020212022202320242025255 on 8/14/2019255 on 8/14/2019313 on 4/1/2020313 on 6/30/2020313 on 11/30/2020480 on 3/31/2021494 on 8/18/2021519 on 3/29/2022494 on 3/27/2023499 on 3/28/2024

Holdings

From latest 13F, filed August 9th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
VANGUARD INFORMATION TECHNOLOGY INF TECH ETF 24K 42K –
SPDR PORTFOLIO SHORT TERM CORPORATE BOND PORTFOLIO SHORT 19K 656K –
INVESCO S&P 500 EQUAL WEIGHT ETF S&P500 EQL WGT 11K 65K –
VANGUARD FINANCIALS ETF FINANCIALS ETF 10K 100K –
ISHARES CORE MSCI EAFE CORE 10K 137K –
ISHARES MSCI USA MINIMUM VOLATILITY ETF MSCI 10K 118K –
S&P 500 INDEX TR UNIT 9K 17K –
VANGUARD INTERMEDIATE CORP BOND ETF INT-TERM CORP 8K 106K –
COMMUNICATIONS SERVICES SELECT SECTOR SPDR COMMUNICATION 8K 94K –
HEALTH CARE SELECT SECTOR SPDR SBI HEALTHCARE 8K 53K –
SPDR PORTFOLIO HIGH YIELD BOND ETF PORTFLI HIGH YLD 6K 278K –
CONSUMER DISCRETIONARY SELECT SECTOR SPDR SBI CONS DISCR 5K 29K –
NVIDIA CORP COM 5K 40K –
INDUSTRIAL SELECT SECTOR SPDR ETF INDL 5K 40K –
SECTOR SPDR CONSUMER STAPLES SBI CONS STPLS 5K 61K –
NEXTERA ENERGY INC COM 4K 63K –
APPLE INC. COM 4K 21K –
ISHARES CORE MSCI EMERGING MARKETS ETF ETF 4K 73K –
ENERGY SELECT SECTOR SPDR ENERGY 4K 39K –
ALPHABET INC. CLASS A CAP STK CL A 3K 19K –
AMAZON.COM INC. COM 3K 13K –
JP MORGAN CHASE & CO. COM 3K 12K –
UTILITIES SELECT SECTOR SPDR FUND SBI INT-UTILS 2K 35K –
MERCK & CO. COM 2K 13K –
ORACLE CORP. COM 1K 10K –
MATERIALS SELECT SECTOR SPDR ETF SBI MATERIALS 1K 16K –
EXXON MOBIL CORP. COM 1K 12K –
JOHNSON & JOHNSON COM 1K 9K –
COSTCO WHOLESALE CORP COM 1K 2K –
VISA INC COM CL A 1K 5K –
POWERSHARES S&P 500 LOW VOLATILITY ETF S&P500 LOW VOL 1K 18K –
ISHARES MSCI EMERGING ETF 1K 19K –
INVESCO S&P 100 EQUAL WEIGHT ETF S&P 100 1K 12K –
WELLS FARGO & CO. COM 1K 17K –
REAL ESTATE SELECT SECTOR SPDR RL EST SEL SEC 1K 27K –
DUKE ENERGY CORP COM NEW 881 9K –
SPDR S&P 600 SMALL CAP S&P 600 SMCP GRW 822 10K –
SPDR S&P CHINA ETF S&P CHINA ETF 695 10K –
CONOCOPHILLIPS COM 684 6K –
COMCAST CORP CL A 641 16K –
VANGUARD SHORT-TERM CORPORATE BOND INDEX SHRT TRM CORP BD 605 8K –
SPDR DJ S&P 600 SM/C ETF S&P 600 SMCP VAL 572 7K –
MEDTRONIC INC. SHS 495 6K –
NIKE INC. COM 476 6K –
ABERDEEN STANDARD BLOOMBERG ALL COMMODITY STRATEGY K-1 FR ETF BBRG ALL COMD K1 461 23K –
ABBVIE INC. COM 451 3K –
S&P GLOBAL INC COM 431 967 –
ABERDEEN STANDARD PHYSICAL PRECIOUS METALS BASKET SHARES ETF PHYSCL PRECS MET 421 4K –
ALPHABET INC CLASS C CAP STK CL C 409 2K –
TECHNOLOGY SELECT SECTOR SPDR TECHNOLOGY 341 2K –
AMGEN INC. COM 312 1K –
ADOBE INC COM 254 458 –
YUM CHINA HOLDINGS I COM 244 8K –
BECTON DICKINSON&CO COM 240 1K –
APPLIED MATERIALS COM 233 986 –
BERKSHIRE HATHAWAY B CL B NEW 229 562 –
VANGUARD INDUSTRIALS ETF INDUSTRIAL ETF 226 962 –
AUTOMATIC DATA PROCESSING COM 221 924 –
META PLATFORMS INC CL A 204 405 –
ABBOTT LABORATORIES COM 204 2K –
PAYPAL HOLDINGS INCO COM 181 3K –
VANGUARD CONSUMER STAPLE ETF CONSUM STP ETF 170 838 –
EQUINIX INC COM 152 201 –
SPDR PORTFOLIO LARGE CAP ETF PORTFOLIO S&P500 139 2K –
VANGUARD SCOTTSDALE FDS TOTAL CORPORATE TOTAL CORP BND 134 2K –
GLOBAL X US PREFERRED ETF US PFD ETF 120 6K –
FINANCIAL SELECT SECTOR SPDR FINANCIAL 99 2K –
VERIZON COMMUNICATIONS COM 95 2K –
VANGUARD MBS ET MTG-BKD SECS ETF 94 2K –
AT&T INC COM 89 5K –
BANK OF MONTREAL COM 89 1K –
ISHARES ESG MSCI USA ETF ESG AWR MSCI USA 87 730 –
SPDR PORTFOLIO INTERMEDIATE PORTFOLIO INTRMD 87 3K –
ALIBABA GROUP HOLDING SPONSORED ADS 87 1K –
AIR PRODUCTS & CHEMICALS INC COM 78 302 –
VANECK VECTORS AMT-FREE INTERMEDIATE MUNI ETF INTRMDT MUNI ETF 76 2K –
INVESCO EXCHANGE TRADED FD TR S&P 500 TOP 50 ETF S&P 500 TOP 50 55 1K –
MASTERCARD INC CL A 54 123 –
AMERICAN EXPRESS CO COM 53 230 –
SPDR BLOOMBERG BARCLAYS BLOOMBERG 1-3 MO 51 559 –
KINDER MORGAN INC. COM 48 2K –
AMER ELECTRIC PWR CO COM 46 520 –
ECOLAB INC COM 40 168 –
TRUIST FINANCIAL CORPORATION COM 40 1K –
INVESCO NATIONAL AMT-FREE MUNI BOND ETF NATL AMT MUNI 39 2K –
SPDR GOLD TRUST GOLD SHS 37 170 –
ALLSTATE CORP COM 34 926 –
ARK INNOVATION ETF INNOVATION ETF 33 762 –
ROYAL CARIBBEAN CRUISE COM 33 210 –
NORTHWEST NATURAL HOLDIN COM 33 900 –
CORNING INC COM 30 768 –
COSTAR GROUP INC COM 26 351 –
ISHARES ESG MSCI EAFE ETF ESG AW MSCI EAFE 25 323 –
TESLA MOTORS INC COM 24 122 –
SPDR RUSSELL 1000 YIELD FOCUS ETF ETF 23 224 –
FORTINET INC COM 22 369 –
ISHARES MSCI EM ESG OPTIMIZE ESG AWR MSCI EM 21 624 –
ZIMMER HOLDINGS INC. COM 20 180 –
SPDR S&P OIL & GAS EQUIPTMENT & SVCS ETF OILGAS EQUIP 18 200 –
VERONA PHARMA SPONSORED ADS 18 1K –
3M COMPANY COM 16 157 –
SPDR NUVEEN BLOOMBERG BARCLAYS SHORT TERM MUNI BON NUVEEN BLMBRG SH 16 336 –
SPDR SSGA US SMALL CAP LOW ETF 15 138 –
NUVEEN ESG SMALL CAP ETF ETF 15 382 –
GE VERNOVA INC COM 14 81 –
NEWMONT GOLDCORP CORP COM 10 250 –
INVESCO TAXABLE MUNICIPAL BOND ETF TAXABLE MUN BD 10 360 –
GE HEALTHCARE TECHNOLOGIES INC COMMON STOCK 9 111 –
ADVANCED MICRO DEVICES INC COM 8 52 –
NEXTERA ENERGY PFD UNIT 09/01/2025 8 200 –
VANECK VECTORS HY MUNI INDEX ETF HIGH YLD MUNIETF 6 124 –
INVESCO EMERGING MARKETS DEBT EMRNG MKT SVRG 6 292 –
CONFLUENT INC CLASS A COM 5 175 –
GLOBALFOUNDRIES INC ORDINARY SHARES 5 100 –
ISHARES MSCI USA QUALITY FACTOR ETF MSCI 4 25 –
CROWDSTRIKE HLDGS INC CL A 4 11 –
NORWEGIAN CRUISE LINE HOLDINGS LTD SHS 4 200 –
ISHARES BROAD USD HG YLD BROAD USD HIGH 3 84 –
ALASKA AIR GROUP INC COM 3 72 –
SS&C TECHNOLOGIES HOLDINGS INC COM 3 44 –
MONSTER BEVERAGE CORP COM 3 50 –
VANGUARD INTERMEDIATE-TERM T INTER TERM TREAS 2 39 –
SOLVENTUM CORPORATION COM 2 39 –
XYLEM INC COM 2 15 –
WISCONSIN ENERGY COM 2 25 –
RIVIAN AUTOMOTIVE INC COM CL A 2 146 –
CONSTELLATION ENERGY COR COM 2 9 –
MEDPACE HOLDINGS INC COM 2 4 –
SUPER MICRO COMPUTER COM 2 2 –
PERMIAN RESOURCES CORP CLASS A COM 2 95 –
ISHARES ESG US AGGREGATE ETF ESG AWR US AGRGT 1 32 –
BLUE OWL CAP INC COM CL A 1 84 –
IDEXX LABORATORIES INC COM 1 3 –
ALNYLAM PHARMACEUTL COM 1 6 –
ISHARES EDGE MSCI MIN VOL EA MSCI 1 21 –
PUBLIC STORAGE COM 1 5 –
DIAMONDBACK ENERGY COM 1 7 –
BUILDERS FIRSTSOURCE INC COM 1 10 –
ALTRIA GROUP INC. COM 1 30 –
AIRBNB INC COM CL 1 9 –
EOG RESOURCES INC. COM 1 10 –
ACCENTURE PLC SHS CLASS A 1 4 –
INGERSOLL RAND PLC F COM 1 13 –
ISHARES MSCI INTL VALUE MSCI INTL VLU FT 1 43 –
ULTA BEAUTY INC COM 1 3 –
DEVON ENERGY CORP. COM 1 24 –
LPL FINANCIAL HOLDINGS INC COM 1 4 –
RYAN SPECIALTY HOLDINGS CL A 1 19 –
CLOUDFLARE INC CL A COM 1 13 –
ISHARES ESG 1-5 YEAR BOND ETF ESG AWRE 1 5 YR 1 41 –
CELSIUS HOLDINGS INC COM NEW 1 17 –
AFFIRM HLDGS INC COM CL 1 30 –
DOORDASH INC CL A 1 8 –
DATADOG INC CL A COM 1 6 –
ZSCALER INC COM 1 4 –
FIDELITY ENHANCED ENHANCED INTL 1 26 –
INVESCO S&P 500 QUALITY ETF S&P500 QUALITY 1 10 –
MONGODB INC CL A 1 2 –
VIRGIN GALACTIC HLDGS INC COM 0 7 –