WINTERS FINANCIAL GROUP, INC.
Adviser information for WINTERS FINANCIAL GROUP, INC. 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 | California, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 2 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 0 | $0 |
| Non-Discretionary | 550 | $169.5M |
| Total | 550 | $169.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 190 | $62.3M |
| HNW Individuals | 40 | $99.7M |
| 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 | 14 | $7.5M |
| 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 | <5 | $44,036 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 22 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-121556 |
|---|---|
| SEC ERA File Number | 801-121556 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 309549 |
| Legal Entity Identifier | None |
Principal Office
2659 TOWNSGATE RD.#213
WESTLAKE VILLAGE
CA
United States
Monday - Friday, 9:00AM TO 5:00PM
Tel: 805-497-1717, Fax: 805-497-7016
Chief Compliance Officer
RICHARD WINTERS
2659 TOWNSGATE RD.
#213
WESTLAKE VILLAGE
CA
United States
Tel:
805-497-1717
Fax:
805-497-7016
R***@*********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 |
|---|---|---|---|---|---|
| WINTERS, RICHARD, KEVIN | Individual | – | OWNER AND CHIEF COMPLIANCE OFFICER | 04/1999 | > 75% |
| Winters, Janice, Elizabeth | Individual | – | OWNER | 04/1999 | 10-25% |