Hedge Fund Database

WINDWARD PRIVATE WEALTH MANAGEMENT INC.

Adviser information for WINDWARD PRIVATE WEALTH MANAGEMENT INC. last updated from Form ADV on March 19th, 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 Kansas, 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 930 $247.6M
Non-Discretionary 0 $0
Total 930 $247.6M

Clients

Type Number RAUM
Individuals 146 $65.5M
HNW Individuals 81 $176.6M
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 $4.8M
Charitable organizations 9 $673,062
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 6
No. of Non-U.S. Clients 1
No. of Financial Planning Clients 101-250

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients
Compensation % of AUMFixed fees

Identifiers

SEC RIA File Number 801-79647
SEC ERA File Number 801-79647
SEC CIK Numbers 1835866
SEC CRD Numbers 113761
Legal Entity Identifier None

Principal Office

10955 LOWELL AVENUE
SUITE 410
OVERLAND PARK
KS
United States
Monday - Friday, 8:30 - 5:00 (M-TH); 8:30-3PM (F)
Tel: 913-381-7411, Fax: 913-381-7609

Websites

www.windwardfp.com www.linkedin.com/company/229478 twitter.com/windwardwm

Chief Compliance Officer

BRAD HARRISON
TAX MANAGER
10955 LOWELL AVENUE
SUITE 410
OVERLAND PARK
KS
United States
Tel: 913-381-7411
Fax: 913-381-7609
(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
DARRELL TIERNEY TTE GARDNER-TIERNEY LVG TR U/A 6-23-03 Domestic Entity – SHAREHOLDER 01/2019 10-25%
OSBORNE, STEVEN, THOMAS Individual – TRUSTEE OF STEVEN T. OSBORNE, TTE OSBORNE FAMILY TR U/A 9-28-12 09/2012 < 5%
TIERNEY, DARRELL, RICHARD Individual – CO-CIO, VP, SECRETARY, TREASURER & TRUSTEE OF DARRELL TIERNEY TTE GARDNER-TIERNEY LVG TR U/A 6-23-03 06/1999 < 5%
ANDREW S. OSBORNE, TTE ANDREW STEVEN OSBORNE AND LINDSEY DEANN OSBORNE REV TR U/A 7-1-10 Domestic Entity – SHAREHOLDER 01/2019 25-50%
STEVEN T. OSBORNE, TTE OSBORNE FAMILY TR U/A 9-28-12 Domestic Entity – SHAREHOLDER 01/2019 10-25%
OSBORNE, ANDREW, STEVEN Individual – CEO, CO-CIO, PRESIDENT & TRUSTEE OF ANDREW S. OSBORNE, TTE ANDREW STEVEN OSBORNE AND LINDSEY DEANN OSBORNE REV TR U/A 7-1-10 07/2010 < 5%
EMILY TIERNEY PETTY, TTE TYLER S. PETTY AND EMILY TIERNEY PETTY LVNG TR U/A 8-24-18 Domestic Entity – SHAREHOLDER 01/2019 25-50%
PETTY, EMILY, TIERNEY Individual – COO, VICE PRESIDENT, TRUSTEE OF EMILY TIERNEY PETTY, TTE TYLER S. PETTY AND EMILY TIERNEY PETTY LVNG TR U/A 8-24-18 08/2018 < 5%
TIERNEY, LISA, JANE Individual – TRUSTEE OF DARRELL TIERNEY TTE GARDNER-TIERNEY LVG TR U/A 6-23-03 06/2003 < 5%
OSBORNE, GAYLE, DIANE Individual – TRUSTEE OF STEVEN T. OSBORNE, TTE OSBORNE FAMILY TR U/A 9-28-12 09/2012 < 5%
PETTY, TYLER, SCOTT Individual – TRUSTEE OF EMILY TIERNEY PETTY, TTE TYLER S. PETTY AND EMILY TIERNEY PETTY LVNG TR U/A 8-24-18 08/2018 < 5%
WARD, BRANDY, KYAN Individual – SHAREHOLDER 01/2020 5-10%
HARRISON, BRAD, JOSEPH Individual – CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER, AND TAX MANAGER 01/2022 5-10%
OSBORNE, LINDSEY, DEANN Individual – TRUSTEE OF ANDREW S. OSBORNE, TTE ANDREW STEVEN OSBORNE AND LINDSEY DEANN OSBORNE REV TR U/A 7-1-10 07/2010 < 5%

No. Employees, Historic

2010020192020202120222023202420259 on 9/10/20199 on 10/18/201911 on 3/12/202011 on 3/17/202011 on 5/19/202011 on 12/7/202011 on 2/19/202111 on 8/4/20219 on 3/30/20229 on 4/28/20228 on 3/13/20238 on 9/27/20238 on 3/19/2024

RAUM, Historic

300M150M02019202020212022202320242025186781578 on 9/10/2019186781578 on 10/18/2019211976859 on 3/12/2020211976859 on 3/17/2020211976859 on 5/19/2020211976859 on 12/7/2020234533071 on 2/19/2021234533071 on 8/4/2021276475386 on 3/30/2022276475386 on 4/28/2022250601350 on 3/13/2023250601350 on 9/27/2023247584326 on 3/19/2024

No. Clients, Historic

30015002019202020212022202320242025218 on 9/10/2019218 on 10/18/2019228 on 3/12/2020228 on 3/17/2020228 on 5/19/2020228 on 12/7/2020237 on 2/19/2021237 on 8/4/2021247 on 3/30/2022247 on 4/28/2022243 on 3/13/2023243 on 9/27/2023236 on 3/19/2024

Holdings

From latest 13F, filed July 22nd, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
EMERSON ELEC CO COM 264K 2K –
ISHARES TR 1 3 YR TREAS BD 477K 6K –
ISHARES TR CORE MSCI EAFE 3M 46K –
ISHARES TR CORE MSCI TOTAL 4M 57K –
ISHARES TR CORE S&P US GWT 4M 34K –
ISHARES TR CORE S&P US VLU 3M 35K –
ISHARES TR CORE TOTAL USD 1M 28K –
ISHARES TR EAFE SML CP ETF 1M 16K –
ISHARES TR EAFE VALUE ETF 2M 29K –
ISHARES TR MBS ETF 322K 4K –
ISHARES TR MSCI EAFE ETF 262K 3K –
ISHARES TR NATIONAL MUN ETF 2M 16K –
ISHARES TR NORTH AMERN NAT 2M 48K –
ISHARES TR RUS 2000 VAL ETF 2M 13K –
ISHARES TR S&P 500 VAL ETF 1M 6K –
ISHARES TR U.S. ENERGY ETF 285K 6K –
MICROSOFT CORP COM 247K 552 –
RESMED INC COM 287K 2K –
SCHWAB STRATEGIC TR EMRG MKTEQ ETF 1M 49K –
SELECT SECTOR SPDR TR ENERGY 330K 4K –
SHERWIN WILLIAMS CO COM 353K 1K –
SPDR SER TR DJ REIT ETF 271K 3K –
SPDR SER TR PORTFOLIO SHORT 2M 54K –
SPDR SER TR S&P 600 SMCP VAL 204K 3K –
VANGUARD ADMIRAL FDS INC 500 GRTH IDX F 2M 6K –
VANGUARD BD INDEX FDS INTERMED TERM 22M 288K –
VANGUARD BD INDEX FDS SHORT TRM BOND 54M 710K –
VANGUARD BD INDEX FDS TOTAL BND MRKT 500K 7K –
VANGUARD INDEX FDS REAL ESTATE ETF 343K 4K –
VANGUARD INDEX FDS SM CP VAL ETF 2M 10K –
VANGUARD INDEX FDS SMALL CP ETF 301K 1K –
VANGUARD INDEX FDS SML CP GRW ETF 763K 3K –
VANGUARD INDEX FDS VALUE ETF 5M 34K –
VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 11M 244K –
VANGUARD INTL EQUITY INDEX F FTSE SMCAP ETF 703K 6K –
VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 1M 10K –
VANGUARD MUN BD FDS TAX EXEMPT BD 914K 18K –
VANGUARD SCOTTSDALE FDS MTG-BKD SECS ETF 14M 307K –
VANGUARD SCOTTSDALE FDS SHORT TERM TREAS 3M 50K –
VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 4M 55K –
VANGUARD SCOTTSDALE FDS VNG RUS1000GRW 29M 309K –
VANGUARD SCOTTSDALE FDS VNG RUS1000VAL 21M 278K –
VANGUARD SCOTTSDALE FDS VNG RUS2000IDX 4M 53K –
VANGUARD SPECIALIZED FUNDS DIV APP ETF 8M 44K –
VANGUARD TAX-MANAGED FDS VAN FTSE DEV MKT 31M 617K –
WISDOMTREE TR INTL SMCAP DIV 788K 12K –