WINTER & ASSOCIATES, INC.
Adviser information for WINTER & ASSOCIATES, INC. last updated from Form ADV on March 14th, 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 | Minnesota, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| 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 | 195 | $109.7M |
| Non-Discretionary | 4 | $6.5M |
| Total | 199 | $116.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 171 | $60.2M |
| HNW Individuals | 24 | $49.4M |
| 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 | <5 | $6.5M |
| 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 | 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 | 26-50 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly charges |
| Other Business Activities | Insurance broker or agent |
Identifiers
| SEC RIA File Number | 801-123146 |
|---|---|
| SEC ERA File Number | 801-123146 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 310349 |
| Legal Entity Identifier | None |
Principal Office
964 GRAND AVENUESAINT PAUL
MN
United States
Monday - Friday, 7:30AM - 4:30PM
Tel: (651) 414-5000, Fax: (651) 414-5004
Chief Compliance Officer
NICOLE WINTER TIETEL
PRESIDENT AND INVESTMENT ADVISOR
964 GRAND AVENUE
SAINT PAUL
MN
United States
Tel:
(651) 414-5000
Fax:
(651) 414-5004
N*****@**************M
(Full email address available in API data)
Regulatory Contact
STEPHANIE MORGART
OPERATIONS AND CLIENT SERVICE MANAGER
964 GRAND AVENUE
SAINT PAUL
MN
United States
Tel:
(651) 414-5000
Fax:
(651) 414-5004
S********@**************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 |
|---|---|---|---|---|---|
| TIETEL, NICOLE, WINTER | Individual | – | PRESIDENT, CHIEF COMPLIANCE OFFICER AND INVESTMENT ADVISOR | 02/2001 | > 75% |