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WINCAP FINANCIAL LLC

BOSTON, MA · CRD 315798 · IAPD ↗ · wincapfinancial.com · (617) 590-3250

$223.1MRegulatory AUM
6Advisory reps
7Employees
0Clients
0Planning clients
0Private funds
14States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

44
July 2026 — WINCAP FINANCIAL LLC notice-filed in CT, OH.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
44
April 2026 — WINCAP FINANCIAL LLC notice-filed in ME, PA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
64
March 2026 — WINCAP FINANCIAL LLC reported RAUM up 46% ($153.3M -> $223.1M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
65
March 2026 — WINCAP FINANCIAL LLC now reports custody of client assets ($143.9M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
44
July 2025 — WINCAP FINANCIAL LLC notice-filed in CO, NJ.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
50
July 2025 — WINCAP FINANCIAL LLC added office(s): 5 -> 6 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
50
April 2025 — WINCAP FINANCIAL LLC added office(s): 4 -> 5 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
46
March 2025 — WINCAP FINANCIAL LLC notice-filed in FL, NY, RI.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
50
March 2025 — WINCAP FINANCIAL LLC added office(s): 3 -> 4 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
61
March 2025 — WINCAP FINANCIAL LLC reports 101-250 financial-planning clients, up from 26-50.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
68
March 2025 — WINCAP FINANCIAL LLC grew from 2 to 5 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
42
November 2024 — WINCAP FINANCIAL LLC notice-filed in TX.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
50
November 2024 — WINCAP FINANCIAL LLC added office(s): 2 -> 3 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
95
October 2024 — WINCAP FINANCIAL LLC (BOSTON, MA) is newly SEC-registered with $124.2M RAUM and 2 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.