OPEN WINDOW FINANCIAL SOLUTIONS, LTD.
Adviser information for OPEN WINDOW FINANCIAL SOLUTIONS, LTD. last updated from Form ADV on March 22nd, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Nevada, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 333 | $223.7M |
| Non-Discretionary | 0 | $0 |
| Total | 333 | $223.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 34 | $17.5M |
| HNW Individuals | 57 | $181.5M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 11 | $24.6M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 51-100 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesEducational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-114451 |
|---|---|
| SEC ERA File Number | 801-114451 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 131562 |
| Legal Entity Identifier | None |
Principal Office
4741 CAUGHLIN PARKWAYSUITE 3
RENO
NV
United States
BY APPOINTMENT ONLY, 9:00 AM - 4:30 PM
Tel: 775-827-0670, Fax: 775-827-6481
Chief Compliance Officer
ERIC A. HOLLEN
ADVISOR & OWNER
4790 CAUGHLIN PKWY #754
RENO
NV
United States
Tel:
775-827-0670
E***@***************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| HOLLEN, JOSEPH, ROBERT | Individual | – | PRESIDENT | 03/2004 | 25-50% |
| HOLLEN, ERIC, ANTHONY | Individual | – | OWNER, CHIEF COMPLIANCE OFFICER | 01/2024 | 50-75% |