Hedge Fund Database

SPENCE ASSET MANAGEMENT

WESTWIND CAPITAL Legal Name

Adviser information for SPENCE ASSET MANAGEMENT last updated from Form ADV on January 25th, 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 New Mexico, United States

Employees

Total Number of Employees 7
Investment Advisory/Research 7
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 5
Licensed Agents of an Insurance Company 0
No. of Firms/People that Solicit Clients 1

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 1,828 $615.4M
Non-Discretionary 3 $5.7M
Total 1,831 $621.1M

Clients

Type Number RAUM
Individuals 612 $154.9M
HNW Individuals 200 $410.8M
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 92 $21.0M
Charitable organizations 13 $14.3M
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 7 $20.2M
Other 0 $0
Type Number
No. of Non-RAUM Clients 8
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 businessesPortfolio management for businesses or institutional clients
Compensation % of AUM

Identifiers

SEC RIA File Number 801-43661
SEC ERA File Number 801-43661
SEC CIK Numbers 899763, 1729269
SEC CRD Numbers 106802
Legal Entity Identifier None

Principal Office

3529 FOOTHILLS ROAD
LAS CRUCES
NM
United States
Monday - Friday, 7:30AM-4:30 PM
Tel: 575-556-8500, Fax: 575-556-8510

Websites

www.ww-capital.com

Chief Compliance Officer

SHEILA WALTON
VICE PRESIDENT, ANALYST
3529 FOOTHILLS ROAD
LAS CRUCES
NM
United States
Tel: 575-556-8500
Fax: 575-556-8510
(Full email address available in API data)

Regulatory Contact

WALTON, ERIC
PRESIDENT
3529 FOOTHILLS ROAD
LAS CRUCES
NM
United States
Tel: 575-556-8500
(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
SPENCE, JAMES, WILLIAM Individual – DIRECTOR 01/2010 10-25%
WALTON, ERIC, MARSHALL Individual – PRESIDENT 01/2010 50-75%
WALTON, SHEILA, CHRISTINE Individual – CHIEF COMPLIANCE OFFICER 09/2010 < 5%
GROOMS, PATRICK, M Individual – SHAREHOLDER 01/2018 < 5%
KOZNEY, SCOTT, FREDERICK Individual – SHAREHOLDER 01/2018 10-25%

No. Employees, Historic

10502020202120222023202420257 on 3/11/20207 on 5/1/20208 on 1/26/20215 on 11/29/20215 on 12/1/20215 on 1/19/20227 on 5/25/20227 on 11/2/20227 on 12/9/20227 on 2/22/20237 on 6/1/20237 on 10/26/20237 on 1/12/20247 on 1/18/20247 on 1/18/20247 on 1/25/2024

RAUM, Historic

700M350M0202020212022202320242025309969181 on 3/11/2020309969181 on 5/1/2020492547748 on 1/26/2021492547748 on 11/29/2021492547748 on 12/1/2021593131793 on 1/19/2022593131793 on 5/25/2022593131793 on 11/2/2022593131793 on 12/9/2022482917004 on 2/22/2023482917004 on 6/1/2023482917004 on 10/26/2023482917004 on 1/12/2024621083474 on 1/18/2024621083474 on 1/18/2024621083474 on 1/25/2024

No. Clients, Historic

1,0005000202020212022202320242025732 on 3/11/2020732 on 5/1/2020732 on 1/26/2021732 on 11/29/2021732 on 12/1/2021864 on 1/19/2022864 on 5/25/2022864 on 11/2/2022864 on 12/9/2022880 on 2/22/2023880 on 6/1/2023880 on 10/26/2023880 on 1/12/2024924 on 1/18/2024924 on 1/18/2024924 on 1/25/2024

Holdings

From latest 13F, filed July 10th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ADOBE INC COM COM 21K 620 –
ALPHABET INC CAP STK CL A COM 299 22K –
ALPHABET INC CAP STK CL C COM 27K 25K –
ANSYS INC COM COM 17K 42K –
APPFOLIO INC COM CL A COM 9K 149K –
FACTSET RESH SYS INC COM COM 77 2K –
FAIR ISAAC CORP COM COM 10K 70K –
GARTNER INC COM COM 20K 48K –
GOLDMAN SACHS ACTIVEBETA U.S. SMALL CAP EQUITY ETF ETF 2K 7K –
IDEXX LABS INC COM COM 21K 48K –
INTUITIVE SURGICAL INC COM NEW COM 25K 32K –
INVESCO NASDAQ 100 ETF ETF 2K 832 –
INVESCO QQQ TRUST SERIES I ETF 297 37K –
INVESCO WATER RESOURCES ETF ETF 1K 2K –
ISHARES 1-3 YEAR TREASURY BOND ETF ETF 590 56K –
ISHARES CORE U.S. AGGREGATE BOND ETF ETF 58 22K –
ISHARES EXPANDED TECH-SOFTWARE SECTOR ETF ETF 500 385 –
ISHARES MSCI MEXICO ETF ETF 3 45 –
ISHARES RUSSELL MIDCAP ETF ETF 158 9K –
MASTERCARD INCORPORATED CL A COM 31K 116K –
MEDPACE HLDGS INC COM COM 17K 381K –
MICROSOFT CORP COM COM 25K 16K –
MONGODB INC CL A COM 208 52K –
MSCI INC COM COM 11K 188 –
PALANTIR TECHNOLOGIES INC CL A COM 1 55K –
PROLOGIS INC. COM COM 17K 45 –
ROPER TECHNOLOGIES INC COM COM 22K 2K –
SAMSARA INC COM CL A COM 13K 6 –
SERVICENOW INC COM COM 13K 23K –
SPDR PORTFOLIO S&P 500 ETF ETF 6K 399 –
SPDR S&P 500 ETF TRUST ETF 1K 15K –
SPDR S&P OIL & GAS EXPLORATION & PRODUCTION ETF ETF 965 43K –
SYNOPSYS INC COM COM 8K 148K –
TEXAS PACIFIC LAND CORPORATION COM COM 11K 7K –
TYLER TECHNOLOGIES INC COM COM 24K 601 –
VANGUARD REAL ESTATE ETF ETF 2K 93K –
VANGUARD S&P 500 ETF ETF 193 11K –
VEEVA SYS INC CL A COM COM 73 44K –
VERISK ANALYTICS INC COM COM 13K 39K –
VISA INC COM CL A COM 31K 14K –
WISDOMTREE INDIA EARNINGS FUND ETF 522 38K –