SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
Point Windward Advisors, Inc.
New York, NY
CRD 110457
Firm filing updated June 2, 2026 ·
- $358.6MAssets
- 278Clients
- 8Advisory staff
- 559Accounts
Fees and minimums
All fee types on the form
- Percentage of assets under managementYes
- CommissionsYes
- Hourly chargesNo
- Fixed feesNo
- Subscription fees (for a newsletter or periodical)No
- Performance-based feesNo
- OtherNo
Who the firm serves
- Individuals230
- High net worth individuals48
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 230 | $146.4 million |
| High net worth individuals | 48 | $212.1 million |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Market timing services
See all 4 services
- Other: "401K"
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Market timing services
- Other: "401K"
Assets and accounts
- Regulatory assets$358.6 million
- Accounts559
- Discretionary$347.8 million · 547 accounts
- Non-discretionary$10.8 million · 12 accounts
People
- Employees9
- Advisory staff8
- Broker-dealer reps5
- Licensed insurance agents1
- Planning clients11 to 25
Advisors
3 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- SEC-registered investment advisor. CRD 110457, SEC file 801-31503.
- Registered with the SEC as an investment advisor (status date on record: April 1, 1988).
Is Point Windward Advisors, Inc. a fiduciary?
Short answer: Point Windward Advisors, Inc. is registered with the SEC as an investment advisor. Some of its people may also act in other roles, such as for a broker-dealer or as insurance agents, where different rules apply. Details below.
More detail
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
Some of the firm's people may also act for a broker-dealer: 5 staff are broker-dealer representatives and the firm has a related broker-dealer. When someone acts for a broker-dealer, a different SEC standard, Regulation Best Interest, applies to their recommendations. Ask which role they are acting in.
1 staff member is a licensed insurance agent and the firm has a related insurance company or agency.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.