Hedge Fund Database

WINDSOR CAPITAL MANAGEMENT, LLC

Adviser information for WINDSOR CAPITAL MANAGEMENT, LLC last updated from Form ADV on January 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 Limited Liability Company
Fiscal Year End DECEMBER
Legal Location Minnesota, United States

Employees

Total Number of Employees 8
Investment Advisory/Research 5
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 5
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 1,200 $619.8M
Non-Discretionary 0 $0
Total 1,200 $619.8M

Clients

Type Number RAUM
Individuals 282 $220.3M
HNW Individuals 188 $330.4M
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 85 $42.4M
Charitable organizations 6 $8.2M
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 17 $18.5M
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
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 businessesPortfolio management for businesses or institutional clientsPension consulting servicesADVISORY CONSULTING SERVICES
Compensation % of AUMHourly charges

Identifiers

SEC RIA File Number 801-64200
SEC ERA File Number 801-64200
SEC CIK Numbers 1543100
SEC CRD Numbers 116593
Legal Entity Identifier None

Principal Office

20860 NORTH TATUM BLVD.
SUITE 220
PHOENIX
AZ
United States
Monday - Friday, 7:00 A.M. - 4:00 P.M.
Tel: 480-515-3514, Fax: 602-357-7457

Websites

www.moneyuncomplicated.net www.windsorcapitalmanagement.com/ www.windcm.com www.windsoradvisor.com www.moneyuncomplicated.com

Chief Compliance Officer

DONALD PEPPLER
MANAGING PARTNER/CHIEF INVESTMENT OFFICER
20860 NORTH TATUM BLVD.
SUITE 220
PHOENIX
AZ
United States
Tel: 480-515-4410
Fax: 602-357-7457
(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
WHITEHURST FINANCIAL SERVICES, INC. Domestic Entity – OWNER 01/2001 50-75%
WHITEHURST, DARREN, LANE Individual – CHIEF MANAGER 01/2000 < 5%
PEPPLER, DONALD, EDWARD Individual – CHIEF COMPLIANCE OFFICER 02/2008 < 5%
WHITEHURST, DARREN, LANE Individual WHITEHURST FINANCIAL SERVICES, INC. PRESIDENT 02/1999 > 75%
PEPPLER CAPITAL ADVISORS, INC Domestic Entity – OWNER 09/2009 25-50%
PEPPLER, DONALD, EDWARD Individual PEPPLER CAPITAL ADVISORS, INC PRESIDENT 01/2008 > 75%

No. Employees, Historic

105020192020202120222023202420257 on 4/22/20197 on 1/21/20207 on 3/2/20207 on 6/18/20207 on 6/24/20207 on 10/19/20209 on 2/4/20219 on 7/28/20219 on 9/9/20218 on 2/9/20228 on 10/26/20228 on 1/24/20238 on 9/26/20238 on 1/22/2024

RAUM, Historic

700M350M02019202020212022202320242025502082972 on 4/22/2019571652668 on 1/21/2020571652668 on 3/2/2020571652668 on 6/18/2020571652668 on 6/24/2020571652668 on 10/19/2020614680371 on 2/4/2021614680371 on 7/28/2021614680371 on 9/9/2021626371000 on 2/9/2022626371000 on 10/26/2022587483051 on 1/24/2023587483051 on 9/26/2023619762668 on 1/22/2024

No. Clients, Historic

70035002019202020212022202320242025594 on 4/22/2019601 on 1/21/2020601 on 3/2/2020601 on 6/18/2020601 on 6/24/2020601 on 10/19/2020607 on 2/4/2021607 on 7/28/2021607 on 9/9/2021609 on 2/9/2022609 on 10/26/2022606 on 1/24/2023606 on 9/26/2023578 on 1/22/2024

Holdings

From latest 13F, filed July 26th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ABBOTT LABS COM 232K 2K –
ABBVIE INC COM 417K 2K –
ADVENT CONV & INCOME FD COM 263K 22K –
AMAZON COM INC COM 553K 3K –
AMERICAN EXPRESS CO COM 407K 2K –
AMGEN INC COM 306K 978 –
APPLE INC COM 5M 22K –
AT&T INC COM 218K 11K –
AXON ENTERPRISE INC COM 1M 4K –
BERKSHIRE HATHAWAY INC DEL CL B NEW 339K 833 –
BROADCOM INC COM 2M 1K –
CATERPILLAR INC COM 858K 3K –
CHEVRON CORP NEW COM 1M 7K –
CISCO SYS INC COM 535K 11K –
COCA COLA CO COM 1M 19K –
COLGATE PALMOLIVE CO COM 402K 4K –
COMCAST CORP NEW CL A 613K 16K –
COSTCO WHSL CORP NEW COM 859K 1K –
EBAY INC. COM 641K 12K –
EMERSON ELEC CO COM 653K 6K –
EXXON MOBIL CORP COM 1M 10K –
GABELLI CONV & INC SECS FD I COM 120K 33K –
GOLDMAN SACHS GROUP INC COM 797K 2K –
HOME DEPOT INC COM 885K 3K –
HONEYWELL INTL INC COM 550K 3K –
INTEL CORP COM 777K 25K –
INTERNATIONAL BUSINESS MACHS COM 445K 3K –
INVESCO EXCH TRADED FD TR II VAR RATE PFD 8M 334K –
INVESCO QQQ TR UNIT SER 1 321K 669 –
ISHARES TR IBONDS 27 ETF 11M 465K –
ISHARES TR TIPS BD ETF 393K 4K –
ISHARES TR IBONDS DEC2026 9M 386K –
ISHARES TR RUS MD CP GR ETF 205K 2K –
ISHARES TR COHEN STEER REIT 215K 4K –
ISHARES TR CORE S&P MCP ETF 13M 223K –
ISHARES TR IBONDS 25 TRM HG 266K 11K –
ISHARES TR CORE S&P TTL STK 889K 7K –
ISHARES TR FLTG RATE NT ETF 8M 165K –
ISHARES TR MSCI EAFE ETF 2M 20K –
ISHARES TR MSCI EMG MKT ETF 376K 9K –
ISHARES TR RUSSELL 2000 ETF 775K 4K –
ISHARES TR CORE S&P500 ETF 31M 57K –
ISHARES TR RUS MID CAP ETF 624K 8K –
ISHARES TR ESG AW MSCI EAFE 13M 165K –
ISHARES TR CORE S&P SCP ETF 4M 38K –
ISHARES TR GLOBAL TECH ETF 522K 6K –
ISHARES TR CRE U S REIT ETF 3M 59K –
ISHARES TR BROAD USD HIGH 417K 11K –
ISHARES TR IBDS DEC28 ETF 10M 422K –
ISHARES TR IBONDS 2026 TERM 263K 11K –
ISHARES TR IBONDS DEC24 ETF 7M 293K –
ISHARES TR CONV BD ETF 841K 11K –
ISHARES TR IBONDS DEC25 ETF 7M 299K –
ISHARES U S ETF TR BLACKROCK SH DUR 382K 8K –
J P MORGAN EXCHANGE TRADED F INTL BD OPP ETF 7M 146K –
J P MORGAN EXCHANGE TRADED F ULTRA SHT MUNCPL 243K 5K –
J P MORGAN EXCHANGE TRADED F BETABUILDERS USD 6M 128K –
J P MORGAN EXCHANGE TRADED F ULTRA SHRT INC 6M 119K –
JOHNSON & JOHNSON COM 1M 7K –
JPMORGAN CHASE & CO. COM 2M 11K –
MCDONALDS CORP COM 2M 6K –
MEDTRONIC PLC SHS 569K 7K –
MERCK & CO INC COM 2M 18K –
META PLATFORMS INC CL A 598K 1K –
MICROSOFT CORP COM 2M 5K –
NIKE INC CL B 431K 6K –
NXP SEMICONDUCTORS N V COM 797K 3K –
ORACLE CORP COM 488K 3K –
PEPSICO INC COM 790K 5K –
PNC FINL SVCS GROUP INC COM 752K 5K –
PROCTER AND GAMBLE CO COM 2M 10K –
PROLOGIS INC. COM 699K 6K –
PROSPECT CAP CORP NOTE 6.375% 3/0 5M 5M –
QUALCOMM INC COM 651K 3K –
SALESFORCE INC COM 657K 3K –
SELECT SECTOR SPDR TR ENERGY 802K 9K –
SELECT SECTOR SPDR TR SBI HEALTHCARE 2M 16K –
SELECT SECTOR SPDR TR SBI INT-UTILS 517K 8K –
SELECT SECTOR SPDR TR SBI CONS DISCR 2M 12K –
SELECT SECTOR SPDR TR SBI MATERIALS 482K 5K –
SELECT SECTOR SPDR TR INDL 1M 11K –
SELECT SECTOR SPDR TR SBI CONS STPLS 988K 13K –
SELECT SECTOR SPDR TR FINANCIAL 2M 44K –
SELECT SECTOR SPDR TR TECHNOLOGY 5M 22K –
SPDR DOW JONES INDL AVERAGE UT SER 1 2M 5K –
SPDR GOLD TR GOLD SHS 497K 2K –
SPDR INDEX SHS FDS PORTFOLIO EMG MK 6M 147K –
SPDR S&P 500 ETF TR TR UNIT 6M 10K –
SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 268K 501 –
SPDR SER TR PORTFOLIO S&P500 19M 294K –
SPDR SER TR PRTFLO S&P500 VL 21M 424K –
SPDR SER TR PORTFOLIO SHORT 506K 17K –
SPDR SER TR BLOOMBERG HIGH Y 5M 53K –
SPDR SER TR BBG CONV SEC ETF 7M 101K –
SPDR SER TR PORTFOLIO S&P600 11M 258K –
SPDR SER TR PORTFOLIO S&P400 10M 189K –
SSGA ACTIVE ETF TR BLACKSTONE SENR 5M 119K –
TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 1M 8K –
TESLA INC COM 228K 1K –
TRAVELERS COMPANIES INC COM 303K 1K –
UNION PAC CORP COM 257K 1K –
VANGUARD BD INDEX FDS SHORT TRM BOND 234K 3K –
VANGUARD INDEX FDS S&P 500 ETF SHS 226K 452 –
VANGUARD INDEX FDS GROWTH ETF 771K 2K –
VANGUARD INDEX FDS REAL ESTATE ETF 1M 13K –
VANGUARD INDEX FDS VALUE ETF 584K 4K –
VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 1M 33K –
VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 554K 7K –
VANGUARD SPECIALIZED FUNDS DIV APP ETF 259K 1K –
VANGUARD TAX-MANAGED FDS VAN FTSE DEV MKT 8M 156K –
VISA INC COM CL A 1M 4K –
WALMART INC COM 2M 36K –