SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
Wincap Financial LLC
Boston, MA
CRD 315798
Firm filing updated June 29, 2026 ·
- $223.1MAssets
- 6Advisory staff
- 624Accounts
Fees and minimums
All fee types on the form
- Percentage of assets under managementYes
- Hourly chargesNo
- Fixed feesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- Performance-based feesNo
- OtherNo
Who the firm serves
- Individuals197
- High net worth individuals73
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 197 | $71.7 million |
| High net worth individuals | 73 | $150.7 million |
| Corporations or other businesses not listed above | Fewer than 5 clients | $632,993 |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Financial planning services
- Portfolio management for individuals and/or small businesses
Assets and accounts
- Regulatory assets$223.1 million
- Accounts624
- DiscretionaryAll accounts
People
- Employees7
- Advisory staff6
- Broker-dealer reps0
- Licensed insurance agents2
- Planning clients0
Advisors
3 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- SEC-registered investment advisor. CRD 315798, SEC file 801-131123.
- Registered with the SEC as an investment advisor (status date on record: September 13, 2024).
Is Wincap Financial LLC a fiduciary?
Short answer: Wincap Financial LLC is registered with the SEC as an investment advisor.
More detail
Some of its people may also act in other roles, such as for a broker-dealer or as insurance agents, where different rules apply. Details below.
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
2 staff are licensed insurance agents.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.