AdvisorCensus / Financial advisors / Connecticut / Waterbury / The Winthrop Corporation
The Winthrop Corporation is an SEC-registered investment advisory firm in Shelton, CT, registered since 1961, with no regulatory assets under management reported in its Form ADV filing dated March 16, 2026.
Quick answers
From the filingHow is The Winthrop Corporation compensated?
On its Form ADV (Item 5.E, October 2026), The Winthrop Corporation reports these compensation arrangements: other.
Where is The Winthrop Corporation located?
The Winthrop Corporation's principal office is in Shelton, CT, according to its Form ADV.
Is The Winthrop Corporation registered with the SEC or a state?
The Winthrop Corporation is an SEC-registered investment advisory firm, registered since 1961. Status as filed: Approved. CRD 105273.
How have The Winthrop Corporation's assets and staff changed since 2021?
In the Form ADV data for The Winthrop Corporation: Total employees: 18 in October 2021 and 21 in October 2026. Assets under management move with markets as well as with clients coming and going.
Does The Winthrop Corporation report any disciplinary disclosures?
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/105273
What changed in The Winthrop Corporation's recent Form ADV filings?
In the April 2026 filing data: Employees performing advisory functions went from 7 to 8.
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- Other
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Fees and minimums
Form ADV Part 2ASee the firm's brochure (dated March 16, 2026) for its fees and any account minimum, on the SEC's IAPD site.
Regulatory assets under management
Item 5.FNot reported.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DNot reported.
A firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Publication of periodicals or newsletters
- Security ratings or pricing services
- Other
Registration and firm details
Items 1, 2, 5- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 1961 (65 years)
- Employees
- Total: 21. Performing investment advisory functions: 8.
- Wrap fee program participation
- No.
- States registered or notice-filed
-
1 state or jurisdiction
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Assets and staff over time
Items 5.A, 5.F| Data period | Assets under management | Employees | Filing dated |
|---|---|---|---|
| October 2026 | Not reported | 21 | March 16, 2026 |
| October 2025 | Not reported | 21 | June 2, 2025 |
| October 2024 | Not reported | 17 | March 14, 2024 |
| October 2023 | Not reported | 16 | March 7, 2023 |
| October 2022 | Not reported | 20 | March 1, 2022 |
| October 2021 | Not reported | 18 | March 17, 2021 |
Total employees: 18 in October 2021 and 21 in October 2026.
As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.
Changes in the filing
Last 12 months- April 2026
- Employees performing advisory functions went from 7 to 8.
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.ISource: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. The Winthrop Corporation (CRD 105273): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/the-winthrop-corporation-shelton-ct-105273