Win Team Advisory Services

CRD#136680
Investment Advisor Firm

Answer a few questions and
get matched with an advisor.

Find an Advisor

Overview

Win Team Advisory Services is a financial advisory company headquartered in Irvine, California. It handles $128.8 million in assets under management across 260 customer accounts, making it a mid-tier firm in the nation by assets under management (AUM). The company has a small group of three employees, all of whom are financial advisors. Win Team Advisory Services does not act as a registered broker-dealer, meaning it cannot buy and sell securities for its customers' and own accounts and instead is required to go through a broker-dealer company to do so. Securities are defined as tradable financial assets like stocks, options and bonds.

Win Team Advisory Services oversees some of the company's client assets in a discretionary manner. Discretionary management is a structure in which buy and sell decisions for the client's account are made by a portfolio manager without requiring client permission. It also oversees 133 non-discretionary accounts totaling $109.0 million in AUM. The investment advisory firm's average account size is $495,416. The average financial advisor at Win Team Advisory Services administers about 87 client accounts.

The firm's headquarters is at 560 Wald, Irvine, California 92618. It is legally allowed to serve customers in the state of California.

Assets Under Management

$128.8 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

$128.8 million

National Average: $3.7 billion
Total Number of Employees

3

National Average: 29
Total Number of Accounts

260

National Average: 2,073
Average Account Size

$495.4 thousand

National Average: $1.8 million

Find a dedicated advisor for your needs

Sometimes a big firm may not be able to give you the one-on-one service that you need. That's where we come in to help match you with great personal financial advisors. Click here to find your advisor matches today.

Back to Overview

Products and Services

Win Team Advisory Services provides 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 any of its customers with financial planning services in the previous fiscal year. The firm is not involved in selling products or offering services aside from investment advice to its investment advisory customers. It is affiliated with a number of other service providers in the financial services industry, including with an insurance company or agency.

Core Advisor Services

  • Offered by 45% 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 62% 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 23% 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.

Back to Overview

Fee Structure

Fees charged by financial advisors typically vary depending on which services the firm provides the client. However, fee types billed by Win Team Advisory Services likely include the following fee types: asset-based, hourly or fixed. Wrap fee programs, or the practice of bundling services for a single fee, are offered by Win Team Advisory Services.

Available

  • Offered by 74% 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 35% 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 40% 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 2% 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 17% 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 1% 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 12% 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 provides services to retail investors and high net worth investors. Out of its 260 accounts, Win Team Advisory Services's largest client type is retail investors, but it also caters to 75 high-net-worth individuals. A high-net-worth individual is defined by the SEC as an investor who has at least $750,000 in AUM or a net worth of at least $1.50 million or who is considered a "qualified purchaser" (a standard met by having at least $5 million in investments). None of the firm's clients are represented by non-U.S. persons.

  • High-Net-Worth Individuals* - 28.85%
  • Other Individuals - 71.15%
  • 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.

Find an advisor who will work directly with you

Sometimes a big firm may not be able to give you the one-on-one service that you need. That's where we come in to help match you with great personal financial advisors. Click here to find your advisor matches today.

Back to Overview

Disclosures

Win Team Advisory Services does not have any disclosures.

Please visit its Form ADV for more details.

Back to Overview
Back to Overview

Find a financial advisor near you

If you're interested in working with an advisor closer to you, we can help you find one. Click here to find your advisor matches today.

Back to Overview

This content was compiled from the SEC and FINRA