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.
Windward Capital Management Co
Los Angeles, CA
CRD 106908
Firm filing updated June 10, 2026 ·
- $1.9BAssets
- 169Clients
- 3Advisory staff
- 278Accounts
Fees and minimums
All fee types on the form
- Percentage of assets under managementYes
- Hourly chargesNo
- Fixed feesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- Performance-based feesNo
- OtherNo
Who the firm serves
- High net worth individuals74
- Individuals53
- Pension and profit sharing plans35
- Charities4
- Corporations or other businesses3
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 53 | $24.6 million |
| High net worth individuals | 74 | $1.2 billion |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 35 | $641.8 million |
| Charitable organizations | 4 | $9.3 million |
| Corporations or other businesses not listed above | 3 | $4.3 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
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
See all 5 services
- Selection of other advisors (including private fund managers)
- Other: "SUB-ADVISORY SERVICES TO REGISTERED INVESTMENT ADVISERS"
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisors (including private fund managers)
- Other: "SUB-ADVISORY SERVICES TO REGISTERED INVESTMENT ADVISERS"
Assets and accounts
- Regulatory assets$1.9 billion
- Accounts278
- Discretionary$1.3 billion · 243 accounts
- Non-discretionary$582.9 million · 35 accounts
People
- Employees7
- Advisory staff3
- Broker-dealer reps6
- Licensed insurance agents2
Advisors
2 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- SEC-registered investment advisor. CRD 106908, SEC file 801-50819.
- Registered with the SEC as an investment advisor (status date on record: December 14, 1995).
Is Windward Capital Management Co a fiduciary?
Short answer: Windward Capital Management Co is registered with the SEC as an investment advisor.
More detail
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.
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: 6 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.
2 staff are licensed insurance agents 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.