WINDWARD WEALTH STRATEGIES, INC.
Adviser information for WINDWARD WEALTH STRATEGIES, INC. last updated from Form ADV on March 6th, 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 | Wisconsin, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| 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 | 386 | $184.3M |
| Non-Discretionary | 0 | $0 |
| Total | 386 | $184.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 45 | $21.3M |
| HNW Individuals | 42 | $163.0M |
| 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 | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 11-25 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-81031 |
|---|---|
| SEC ERA File Number | 801-81031 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 175126 |
| Legal Entity Identifier | None |
Principal Office
2370 STATE ROAD 44SUITE A
OSHKOSH
WI
United States
Monday - Friday, 8:00AM TO 4:30PM
Tel: 920-230-2215, Fax: 920-230-6851
Chief Compliance Officer
CASSANDRA ANN KNIGHT
2370 STATE ROAD 44
SUITE A
OSHKOSH
WI
United States
Tel:
920-230-2215
Fax:
920-230-6851
C******@*************M
(Full email address available in API data)
Regulatory Contact
GREGORY B. PIERCE
PRESIDENT & CIO
2370 STATE ROAD 44
SUITE A
OSHKOSH
WI
United States
Tel:
920-230-2215
Fax:
920-230-6851
G******@***************************M
(Full email address available in API data)
Industry Affiliates
| FOX VALLEY PRO BASKETBALL, INC. | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| PIERCE, GREGORY, BRYAN | Individual | – | PRESIDENT & CIO | 04/2015 | 50-75% |
| MOLITOR, KIM, M | Individual | – | SECRETARY | 04/2015 | 25-50% |
| KNIGHT, CASSANDRA, ANN | Individual | – | CHIEF COMPLIANCE OFFICER | 04/2015 | 5-10% |