WIN TEAM ADVISORY SERVICES
WIN TEAM INSURANCE SERVICES, INC. Legal Name
Adviser information for WIN TEAM ADVISORY SERVICES last updated from Form ADV on February 27th, 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 | JANUARY |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 3 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 3 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 196 | $51.6M |
| Non-Discretionary | 133 | $91.4M |
| Total | 329 | $143.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 271 | $22.2M |
| HNW Individuals | 58 | $120.8M |
| 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 | 0 | $0 |
| 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 | 329 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Registered representative of a broker-dealerInsurance broker or agent |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 51.6M |
| Portfolio Manager | 0 |
| Both for Same | 0 |
Identifiers
| SEC RIA File Number | 801-68877 |
|---|---|
| SEC ERA File Number | 801-68877 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 136680 |
| Legal Entity Identifier | None |
Principal Office
560 WALDIRVINE
CA
United States
Monday - Friday, 7AM-4PM
Tel: 949-336-7300, Fax: 949-336-7301
Websites
Chief Compliance Officer
DAVID W. CRIST
560 WALD
IRVINE
CA
United States
Tel:
949-336-7300
Fax:
949-336-7301
D**********@***********M
(Full email address available in API data)
Regulatory Contact
DAVID WINSTON CRIST
PRESIDENT
560 WALD
IRVINE
CA
United States
Tel:
949-336-7300
Fax:
949-336-7301
D**********@***********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 |
|---|---|---|---|---|---|
| CRIST, DAVID, WINSTON | Individual | – | CHIEF COMPLIANCE OFFICER | 01/1999 | > 75% |
| CRIST, DAVID, WINSTON | Individual | – | PRESIDENT | 01/1999 | > 75% |