Windward Capital Management Co

CRD#106908
Investment Advisor Firm

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Overview

Windward Capital Management Co operates as a financial advisory firm that has its headquarters in Los Angeles, California. Windward Capital Management Co oversees $940.0 million in total assets across 211 customer accounts, placing it among the larger firms in the nation by assets under management (AUM). Windward Capital Management Co has a small group, including 4 financial advisors. Windward Capital Management Co does not act as a registered broker-dealer, meaning the advisor cannot buy and sell securities for its own accounts as well as its clients' and instead has to go through a broker-dealer firm to do so. Securities are exchangable fiscal investments such as stocks, options and bonds.

Windward Capital Management Co manages all of the firm's accounts in a discretionary manner. Discretionary management means that an investment advisor makes transaction choices for the client's account without needing to seek client consent. The firm oversees roughly $4.5 million in assets for every client account. The average financial advisor at Windward Capital Management Co manages around 53 client accounts, placing it towards the middle in terms of personalization.

The company's main office is at 11111 Santa Monica Boulevard, Los Angeles, California 90025. The firm is registered to provide services to customers throughout a number of states, including California, Colorado, Nevada, Texas, Washington and Connecticut.

Assets Under Management

$940.0 million

Number of Advisors

4

Disclosures

No

Office Location

11111 Santa Monica Boulevard
Los Angeles, CA 90025

Windward Capital Management Co by the Numbers

Total Assets Under Management

$940.0 million

National Average: $8.6 billion
Total Number of Employees

12

National Average: 64
Total Number of Accounts

211

National Average: 375,227
Average Account Size

$4.5 million

National Average: $23.0 thousand
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Fee Structure

Fees charged by financial advisors usually vary depending on which service is provided. Fees billed by the company typically consist of the following fee structure: asset-based. Wrap fee programs, or the practice of bundling services for a single fee, are provided by the firm.

Available

  • Offered by 69% of firms

    Percentage of Assets

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    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.

Unavailable

  • Find one of the 21% of firms that offer this fee type

    Hourly

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    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.

  • 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

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    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 32% of firms that offer this fee type

    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.

  • 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

It provides services to high net worth investors, pension plans, state or municipal government entities and corporations. Out of its 211 accounts, Windward Capital Management Co's biggest client group is high net worth investors, although it also serves 177 high-net-worth individuals. The SEC defines a high-net-worth individual as an individual who has at least $750,000 under management or a net worth of at least $1.50 million or who is deemed a "qualified purchaser" (a standard met by having at least $5 million in investments). None of the firm's customers are represented by non-U.S. persons.

  • High-Net-Worth Individuals* - 90.77%
  • Other Individuals - 0%
  • Corporations - 9.23%
  • 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

Windward Capital Management Co does not have any disclosures.

Please visit its Form ADV for more details.

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