Win Team Advisory Services

CRD#136680
Investment Advisor Firm

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Learn more about Win Team Advisory Services

  • Overview
  • By the Numbers
  • Products and Services
  • Fee Structure
  • Types of Clients
  • Disclosures
  • State Registrations
  • Office Locations

    • Overview

    Win Team Advisory Services operates as a financial advisor company headquartered in Irvine, California. It manages $117.0 million in assets under management over 320 accounts, placing it in the mid-tier of firms in the United States by assets under management (AUM). It has a small team, including 3 financial advisors. Win Team Advisory Services does not act as a registered broker-dealer, meaning the firm cannot buy and sell securities for its accounts and those of its customers and instead is required to go through a broker-dealer firm to do so. Securities are exchangable financial investments such as options, bonds and equities.

    Win Team Advisory Services manages most of its client assets in a discretionary manner. Discretionary management means that buy and sell choices for the client's account are made by a portfolio manager without requiring client permission. The company also administers 131 non-discretionary accounts totaling $76.8 million in assets under management. The company administers roughly $365,764 in assets for every client account. The average financial advisor at Win Team Advisory Services manages about 107 client accounts.

    The company's central office is at 560 Wald, Irvine, California 92618. The firm is legally registered to provide services to customers in the state of California.

    Assets Under Management

    $117.0 million

    Number of Advisors

    3

    Disclosures

    No

    Office Location

    560 Wald
    Irvine, CA 92618

    Win Team Advisory Services by the Numbers

    Total Assets Under Management

    $117.0 million

    National Average: $8.6 billion
    Total Number of Employees

    3

    National Average: 64
    Total Number of Accounts

    320

    National Average: 375,227
    Average Account Size

    $365.8 thousand

    National Average: $23.0 thousand
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    Products and Services

    Win Team Advisory Services offers a number of financial services, which can include financial planning services, portfolio management for individuals and small businesses and selection of other advisers. However, the company did not provide financial planning services to any of its clients in the last financial year. Win Team Advisory Services does not sell products or offer services apart from investment advice to its investment advisory customers. It is affiliated with one or more other companies in the financial services industry, including with an insurance company or agency.

    Core Advisor Services

    • Offered by 31% of firms

      Financial Planning Services

      This is the process of planning for your financial future, including for events such as retirement, your child's college education or estate succession.

    • Offered by 46% of firms

      Portfolio Management

      This is the selection and management of an investment mix and portfolio strategy for individuals and small businesses.

    • Find a firm that offers this service

      Market Timing Services

      This is the practice of attempting to make short-term profits on investments by buying low and selling high.

    Other Services

    • Offered by 20% of firms

      Selection of Other Advisors

      This is the firm's assistance with choosing other advisors to work with who may have different specialties.

    • Find a firm that offers this service

      Publication of Periodicals

      This is the publication of various financial education materials.

    • Find a firm that offers this service

      Educational Seminars/Workshops

      This is the hosting of seminars or workshops to educate investors on financial concepts.

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    Fee Structure

    Fees charged by financial advisors usually are based on which service is provided. However, fees charged by the firm may include the following fee structures: asset-based, hourly or fixed. The company does participate in a wrap fee program, in which the firm offers a bundle of services for a single fee.

    Available

    • Offered by 69% of firms

      Percentage of Assets

      Show Explanation

      This fee, which is the most common fee type charged by advisors for portfolio management, is based on the amount of assets you have under management. Also referred to as an asset-based fee, this fee typically ranges from 0.50%-2.00% of AUM annually. You'll typically pay a lower rate the more assets you have under management.

    • Offered by 21% of firms

      Hourly

      Show Explanation

      Like a lawyer, a financial advisor may charge you by the hour. This can be helpful if you are only looking for short-term or one-time advice. Rates typically range from $100-$300 per hour, depending on the complexity and level of services needed.

    • Offered by 32% of firms

      Fixed

      Show Explanation

      Fixed fees are a one-time, lump sum charged for a specific service, like the creation of a financial plan without subsequent implementation. This can be useful if you only need advice for one specific purpose, rather than a long-term advisor. Fixed fees usually range from $1,000 to $3,000.

    Unavailable

    • Find one of the 1% of firms that offer this fee type

      Commissions

      Show Explanation

      Occasionally, advisors earn commissions from selling financial products, such as securities or insurance policies, or making certain referrals or transactions. Advisors who earn commissions may be incentivized to make certain recommendations to clients in order to make a commission. Fee-only advisors do not earn commissions, while fee-based advisors may.

    • Find one of the 26% of firms that offer this fee type

      Performance-based

      Show Explanation

      Advisors only earn performance-based fees if a portfolio outperforms a defined benchmark. This fee may be calculated in a number of ways but most commonly is charged as a percentage of investment profits. Performance-based fees may incentivize advisors to make riskier decisions in order to generate higher returns.

    • Find one of the 0% of firms that offer this fee type

      Subscription

      Show Explanation

      Firms generally charge this fee for educational materials provided, such as a monthly magazine. This can be useful if you want to learn about investing or financial management on your own.

    • Find one of the 10% of firms that offer this fee type

      Other

      Show Explanation

      Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

    Back to Overview

    Types of Clients

    Win Team Advisory Services caters to retail investors and high net worth investors. Out of its 320 clients, Win Team Advisory Services's largest client group by number of accounts is retail investors, though it also manages money for 63 high-net-worth individuals. A high-net-worth individual is defined by the SEC as someone who has at least $750,000 under management or a net worth of more than $1.50 million or who counts as a "qualified purchaser" (a standard met by having at least $5 million in investments). None of the firm's accounts are non-U.S. persons.

    • High-Net-Worth Individuals* - 19.69%
    • Other Individuals - 80.31%
    • Corporations - 0%
    • Charitable Organizations - 0%

    * The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.

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    Disclosures

    Win Team Advisory Services does not have any disclosures.

    Please visit its Form ADV for more details.

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