Windward Wealth Strategies, Inc. (Oshkosh)

Windward Wealth Strategies, Inc. is a large advisory firm based in Oshkosh. It manages $157.26 million of regulatory assets for 429 client accounts. It has been registered with the SEC as an adviser since 2015 and has operated in the jurisdictions of Florida, Illinois, Minnesota, Tennessee, and Wisconsin.

Windward Wealth Strategies provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, pension consulting services, and selection of other advisers. It prepares financial plans for more than 10 clients. On top of advisory services, the firm doesn't engage in other business activities.

Windward Wealth Strategies: assets under management

The assets under management (AUM) of Windward Wealth Strategies, Inc. is $157.26 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -14% since the beginning of its operation, and $170 thousand of the total AUM is attributable to clients outside of the United States.

The firm manages $157.26 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $366.57 thousand each.

Investments

The firm invests in non-exchange traded securities the most. They account for 65% of the total AUM. The second-largest asset type is state and local bonds, which make up 10% of the firm’s portfolio. Investments in investment grade corporate bonds form 8% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Windward Wealth Strategies, Inc. for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Windward Wealth Strategies serves?

The firm provides services to individuals, charitable organizations, high net worth individuals, and pension and profit sharing plans. The largest group of clients of Windward Wealth Strategies is high net worth individuals with 41 clients and $112.38 million of assets under management. Among the 10 most similar advisory firms, Windward Wealth Strategies has the 2nd highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $157.26 million for 107 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Windward Wealth Strategies doesn't advise any private funds.

Careers at Windward Wealth Strategies, Inc.

The company employs 4 people that are either part- or full-time employees. 75 percent of the employees work as investment advisers or researchers. 3 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Walter Alexander Koskinen	Treasurer, chief compliance officer	1 Apr 2015	Other	1275243
Gregory Bryan Pierce	President & cio	1 Apr 2015	50% - 75%	2322976
Kim M Molitor	Secretary	1 Apr 2015	25% - 50%	5791376
Cassandra Ann Knight	Assistant relationship manager	1 Apr 2015	Other	5657690

Based in Oshkosh

The principal office where Windward Wealth Strategies, Inc. performs its advisory services is located at 2370 State Road 44, Oshkosh, WI 54904, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 920-230-2215 or by fax 920-230-6851. The normal business hours are 8:00am to 4:30pm on Monday - Friday.