Wincap Financial Llc
- Regulatory AUM
- $223M
- Discretionary
- $223M
- Clients
- 270
- Avg AUM / client
- $826K
- Accounts
- 624
- Employees
- 7
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Jun 29, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 197 | $71.7M | 32.1% |
| High net worth individuals | 73 | $151M | 67.6% |
| Corporations and other businesses | Fewer than 5 clients | $633K | 0.28% |
People (7)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Michael Patrick Collins | Managing Member / Chief Executive Officer / Chief Compliance Officer | CFA | Sep 2021 (5y) | 75% or more |
| Zachary John Ciampa | Registered representative | CFP Chartered Financial Consultant | Dec 2023 (3y) | |
| Joseph Lepore | Registered representative | May 2024 (2y) | ||
| Lucas P Pavlatos | Registered representative | CFP | Jun 2024 (2y) | |
| Frank Veneau Mahoney | Registered representative | Jul 2024 (2y) | ||
| Joseph L. Duran | Registered representative | Jun 2025 (1y) | ||
| Andrew Peter Crowley | Registered representative | Apr 2026 (0y) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 06/29/2026 | 974 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
Custody
Reported custodians
- Charles Schwab & Co. $150M (67% of AUM) Jun 2026
- Fidelity Brokerage Services $73.2M (33% of AUM) Jun 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jun 29, 2026.
View current Form ADV (SEC/IAPD) ↗