Asset manager · Boston, MA
Wainwright Investment Counsel LLC
SEC-registered investment adviser · CRD 108711 · SEC 801-56485
At a glance
Wainwright Investment Counsel LLC is an SEC-registered investment adviser based in Boston, Massachusetts, with $5.5 billion in regulatory assets under management as of its Form ADV filed September 15, 2026. Its largest client group by assets is state or municipal government entities, and it reports 176 individual clients. By Form ADV it is a asset manager, ranked 661st of 3,218 asset managers and 1,955th of 17,210 SEC-registered advisers by assets.
Main office 617-531-3100wainwrightinvestment.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $5.5B
- Rank among asset managers
- #661 of 3,218
- Rank among all SEC RIAs
- #1,955 of 17,210
- Rank in Massachusetts
- #135 of 627
- Individual clients
- 176
- High-net-worth clients
- 108
- Accounts
- 214
- Discretionary
- 2% of AUM
- Employees
- 17
- Advisory staff
- 10
- Offices
- 1
Owners and executives on its Form ADV
- Stephen D. BarrettMember of Board of Managers
- Eric P. BertonazziChairman of Board of Managers, Chief Executive Officer, Chief Investment Officer
- Gustavo A. AristizabalMember of Board of Managers, President and Corporate Secretary
- Paul G. MartinsMember of Board of Managers, Chief Financial & Administrative Officer
- Matthew K. SeneyChief Operating Officer, Deputy Chief Investment Officer
- Christopher M. MortaraChief Compliance Officer
Custody and brokerage
Broker-dealer
Hybrid RIA
Wainwright Investment Counsel LLC is a hybrid RIA: 16 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: WFS, LLC.
- WFS, LLC ↗CRD 116778
It doesn’t hold client accounts or customer funds itself. Its annual audited report filed with the SEC, March 2026
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| State or municipal government entities | 10 | $2.8B | 52% |
| High-net-worth individuals | 108 | $1.7B | 31% |
| Other | 2 | $732M | 13% |
| Charitable organizations | 12 | $161M | 3% |
| Individuals | 68 | $42M | <1% |
| Corporations or other businesses | 9 | $25M | <1% |
| Pooled investment vehicles | 1 | $13M | <1% |
| Pension and profit sharing plans | 4 | $6M | <1% |
Private funds
Wainwright Investment Counsel LLC reports 1 private funds with $14M in gross assets: hedge funds (Form ADV Item 7.B).
Disciplinary disclosures
Wainwright Investment Counsel LLC reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for individuals and small businesses
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses and institutions
- Pension consulting
- Selecting other advisers
- Educational seminars and workshops
- Other services
How it’s paid
- A percentage of assets under management
- Fixed fees
- Performance-based fees
- Other
Form ADV and brochures on the SEC’s adviser search ↗wainwrightinvestment.com ↗
AtlasMembers
The full record on Wainwright Investment Counsel LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
- Locked
- Growth over one, three and five years
- Locked
- Rank against 685 peers of its type and size
- Locked
- Owners and executives, with titles and stakes
- 6 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 2Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Wainwright Investment Counsel LLC manage?
Wainwright Investment Counsel LLC reports $5.5 billion in regulatory assets under management across 214 accounts, 2% of it on a discretionary basis, on its Form ADV filed September 15, 2026.
What kind of firm is Wainwright Investment Counsel LLC?
Wainwright Investment Counsel LLC is a asset manager by its Form ADV answers. Most of its assets are managed for funds, institutions or other businesses rather than individuals.
Who are Wainwright Investment Counsel LLC’s clients?
By assets, its largest client types are state or municipal government entities ($2.8 billion, 10 clients); high-net-worth individuals ($1.7 billion, 108 clients); other ($732 million, 2 clients).
Does Wainwright Investment Counsel LLC manage private funds?
Yes. It reports 1 private funds with $14 million in gross assets, including hedge funds.
Does Wainwright Investment Counsel LLC have any disciplinary history?
Wainwright Investment Counsel LLC reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Wainwright Investment Counsel LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-09-15), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →