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 is located at 560 Wald, Irvine, CA. The firm employs 3 financial advisors to manage client portfolios and provide financial guidance. Win Team Advisory Services is not a registered broker-dealer.

    Win Team Advisory Services oversees $143.0 million in assets under management across 329 accounts, of which 196 are discretionary and 133 are non-discretionary. The services offered include financial planning services, portfolio management for individuals and small businesses, and selection of other advisers. The firm caters to retail investors and high net worth investors, with retail investors being the largest client type by accounts. The fee structure at Win Team Advisory Services includes asset-based, hourly, and fixed fees. The firm has 58 high net worth clients and maintains affiliations with an insurance company or agency.

    Win Team Advisory Services is registered in the state of California.

    Assets Under Management

    $143.0 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

    $143.0 million

    National Average: $8.6 billion
    Total Number of Employees

    3

    National Average: 64
    Total Number of Accounts

    329

    National Average: 375,227
    Average Account Size

    $434.7 thousand

    National Average: $23.0 thousand
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    Products and Services

    Win Team Advisory Services offers multiple financial services, which can include financial planning services, portfolio management for individuals and small businesses, and selection of other advisers. Notably, Win Team Advisory Services did not provide financial planning services to any of its customers in the prior financial year. The Company is not engaged in selling products or offering services other than investment advice to its investment advisory customers.

    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 for financial management largely depend on the financial services provided. Fees billed by Win Team Advisory Services may include any blend of the following fee types: asset-based, hourly, or fixed. Wrap fee programs, or the practice of bundling services for a single fee, are provided by Win Team Advisory Services.

    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.

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    Types of Clients

    The firm provides services to retail investors and high net worth investors. Out of its 2 clients, Win Team Advisory Services's largest client group by number of accounts is high net worth investors, although it also manages money for 58 high-net-worth individuals. A high-net-worth individual is defined by the SEC as an individual who has at least $750,000 in AUM or a net worth of more than $1,50 million or who is deemed a "qualified purchaser" (a standard met by having at least $5 million in investments).

    • High-Net-Worth Individuals* - 17.63%
    • Other Individuals - 82.37%
    • 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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