Stephen Dalton Barrett

Employer firm

Wainwright Investment Counsel LLC CRD 108711

$5.52B regulatory AUM

Reported services (Item 5G)

• Portfolio management (individuals)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2005 → Present
  Wfs, Llc
  Boston, MA
• 06/2005 → Present
  Wainwright Investment Counsel, Llc
  Boston, MA

Previous Registrations

• 1994-04-14 → 2003-07-15
  H.C.WAinwright & Co., Llc
  Boston, MA

Other Businesses

MR. BARRETT IS REGISTERED WITH WAINWRIGHT INVESTMENT COUNSEL, LLC ("WAINWRIGHT"), AN SEC REGISTERED INVESTMENT ADVISOR. MR. BARRETT IS A MEMBER OF THE WAINWRIGHT BOARD OF MANAGERS. HE IS REGISTERED WITH WFS, LLC WHOSE BUSINESS IS CURRENTLY LIMITED TO ENGAGING IN THE FACILITATION OF PRIVATE PLACEMENT TRANSACTIONS. WFS, LLC IS A WHOLLY OWNED SUBSIDIARY OF WAINWRIGHT ALSO LOCATED AT ONE BOSTON PLACE, BOSTON, MA 02108. MR. BARRETT IS A PRINCIPAL OF WAINWRIGHT CAPITAL PARTNERS, LLC ("WCAP"), A COMMODITY POOL OPERATOR AND MEMBER OF THE NATIONAL FUTURES ASSOCIATION. WCAP IS A WHOLLY OWNED SUBSIDIARY OF WAINWRIGHT ALSO LOCATED AT ONE BOSTON PLACE, BOSTON, MA 02108. WCAP ACTS AS GENERAL PARTNER OF THE WAINWRIGHT RENAISSANCE FUND 1, L.P. MR. BARRETT IS A PRINCIPAL OF WCAP SOLELY DUE TO HIS OWNERSHIP IN WAINWRIGHT.

Exams

• S63 Uniform Securities Agent State Law Examination
  1995-02-24
• S65 Uniform Investment Adviser Law Examination
  1995-02-24

Other Names

• Stephen D Barrett