{"url":"https://nivawealth.com/firms/wainwright-investment-counsel-108711","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/108711","regulatoryAum":5516243000,"crd":"108711","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"2735053","suffix":null,"lastName":"ARISTIZABAL","firstName":"GUSTAVO","middleName":"ADOLFO"},{"crd":"13479","suffix":null,"lastName":"BARRETT","firstName":"STEPHEN","middleName":"DALTON"},{"crd":"2590583","suffix":null,"lastName":"BERTONAZZI","firstName":"ERIC","middleName":"PAUL"},{"crd":"731739","suffix":null,"lastName":"DWYER","firstName":"MICHAEL","middleName":"FRANCIS"},{"crd":"2998973","suffix":null,"lastName":"FABRIZIO","firstName":"JEFFREY","middleName":"DAVID"},{"crd":"5550843","suffix":null,"lastName":"GUCUM","firstName":"AHMET","middleName":null},{"crd":"5258951","suffix":null,"lastName":"KHANACHET","firstName":"SALIM","middleName":"MARK"},{"crd":"7565486","suffix":"IV","lastName":"Lewis","firstName":"Everett","middleName":"Clinton"},{"crd":"2911607","suffix":null,"lastName":"PERDIGAO","firstName":"PAUL","middleName":"BRIAN"},{"crd":"404978","suffix":null,"lastName":"ROSS","firstName":"DONALD","middleName":"OGDEN"},{"crd":"4075881","suffix":null,"lastName":"SENEY","firstName":"MATTHEW","middleName":"KIRK"},{"crd":"4342076","suffix":null,"lastName":"SIRACUSE","firstName":"MICHAEL","middleName":"WILLIAM, 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Bertonazzi","title":"Chairman of Board of Managers, Chief Executive Officer, Chief Investment Officer","crd":"2590583"},{"name":"Gustavo Aristizabal","title":"Member of Board of Managers, President and Corporate Secretary","crd":"2735053"},{"name":"Paul Martins","title":"Member of Board of Managers, Chief Financial & Administrative Officer","crd":"1189296"},{"name":"Matthew Seney","title":"Chief Operating Officer, Deputy Chief Investment Officer","crd":"4075881"},{"name":"Christopher Mortara","title":"Chief Compliance Officer","crd":"2858346"},{"name":"Stephen Barrett","title":"Member of Board of Managers","crd":"13479"}],"ownership":[{"label":"Stephen Barrett","detail":"Member of board of managers in the 5% to 10% ownership band and a control person, since January 2005."},{"label":"Eric Bertonazzi","detail":"Chairman of board of managers, chief executive officer, chief investment officer in the 25% to 50% ownership band and a control person, since July 2013."},{"label":"Gustavo Aristizabal","detail":"Member of board of managers, president and corporate secretary in the 5% to 10% ownership band and a control person, since November 2015."},{"label":"Matthew Seney","detail":"Chief operating officer, deputy chief investment officer in the 5% to 10% ownership band, since July 2013."},{"label":"WCH Holdings Corp.","detail":"Owner in the 5% to 10% ownership band, since October 2015."},{"label":"Bryan J. Zwan Family Trust","detail":"Indirect owner: a owner of WCH Holdings Corp. in the 75% or more band and a control person, since October 2015.","parent":"WCH Holdings Corp."},{"label":"Brett Hendee","detail":"Indirect owner: trustee of Bryan J. Zwan Family Trust and a control person, since October 2015.","parent":"Bryan J. Zwan Family Trust"},{"label":"June Zwan","detail":"Indirect owner: trustee of Bryan J. Zwan Family Trust and a control person, since October 2015.","parent":"Bryan J. Zwan Family Trust"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Massachusetts","offices":1,"addresses":[{"street":"One Boston Place, 29th Floor","city":"Boston","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"617-531-3100","stateRegisteredReps":12,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)","Performance-based fees","Other"],"activities":["Portfolio management for individuals and/or small businesses","Portfolio management for pooled investment vehicles (other than investment companies)","Portfolio management for businesses (other than small businesses) or institutional clients","Pension consulting services","Selection of other advisers (including private fund managers)","Educational seminars/workshops","Other"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":30},{"label":"U.S. government/agency bonds","percent":2},{"label":"Investment grade corporate bonds","percent":2},{"label":"Securities issued by registered investment companies or business development companies","percent":11},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":53},{"label":"Cash and cash equivalents","percent":2}],"privateFunds":1},"sources":{"adv1FilingDate":"15 September 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/108711/PDF/108711.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-21","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Wainwright Investment Counsel have?","answer":"Wainwright Investment Counsel has 214 clients and manages $5.52 billion for them, as of September 2026. They include 108 high-net-worth individuals, 68 individual clients and 12 charitable organizations.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 15 September 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Wainwright Investment Counsel offer?","answer":"Wainwright Investment Counsel provides portfolio management for individuals and small businesses, portfolio management for pooled vehicles, portfolio management for institutions, pension consulting, selecting other managers, and educational seminars.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Wainwright Investment Counsel use?","answer":"Wainwright Investment Counsel’s separately managed account assets are held at M&T Bank Corporation (Buffalo, NY), with $2.9B. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 15 September 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Wainwright Investment Counsel have?","answer":"Wainwright Investment Counsel has 12 investment adviser representatives registered with state securities authorities, out of 17 employees, and 10 perform investment advisory functions. 16 employees are registered representatives of a broker-dealer and 0 employees are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Wainwright Investment Counsel invest in?","answer":"At the end of its last fiscal year, Wainwright Investment Counsel’s separately managed accounts held 53% pooled vehicles (private funds and similar), 30% exchange-traded equities, 11% registered funds (mutual funds, ETFs, BDCs), 2% U.S. government and agency bonds, 2% investment grade corporate bonds and 2% cash and equivalents. It advises 1 private fund.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Wainwright Investment Counsel?","answer":"Wainwright Investment Counsel’s direct owners are Stephen Barrett, Eric Bertonazzi, Gustavo Aristizabal, Matthew Seney and WCH Holdings Corp., each holding 50% or less.","source":"Form ADV Part 1A, Schedules A and B, filed 15 September 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Wainwright Investment Counsel get paid?","answer":"Wainwright Investment Counsel is paid through a percentage of assets under management, fixed fees, performance-based fees and other compensation. Its Form ADV lists no commissions among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Wainwright Investment Counsel?","answer":"Wainwright Investment Counsel’s main office is at One Boston Place, 29th Floor, Boston, MA 02108. Its phone number is 617-531-3100.","source":"Form ADV Part 1A, Item 1.F, filed 15 September 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}