Windward Capital Management Co (Los Angeles)

Name: Windward Capital Management Co
Address: 11111 Santa Monica Boulevard, Los Angeles, CA, 90025
Telephone: 310-893-3000

Windward Capital Management Co is a large advisory firm based in Los Angeles. It manages $697.58 million of regulatory assets for 193 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of California, Colorado, Connecticut, and 3 other states.

Windward Capital Management provides portfolio management for individuals and small businesses and portfolio management for businesses and institutional clients. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Windward Capital Management: assets under management

The assets under management (AUM) of Windward Capital Management Co is $697.58 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 365% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $697.58 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $3.61 million each.

Investments

The firm invests in exchange traded securities the most. They account for 94% of the total AUM. The second-largest asset type is investment grade corporate bonds, which make up 4% of the firm’s portfolio. Investments in cash and cash equivalents form 1% of the total invested assets.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Windward Capital Management Co for their services and products based on a percentage of assets under management. 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 Robert Wayne Nichols serves?

The firm provides services to high net worth individuals, pension and profit sharing plans, and state or municipal government entities. The largest group of clients of Robert Wayne Nichols is high net worth individuals with 180 clients and $638.52 million of assets under management. Among the 8 most similar advisory firms, Windward Capital Management has the highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $688.56 million for 193 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 Capital Management doesn't advise any private funds.

Careers at Windward Capital Management Co

The company employs 13 people that are either part- or full-time employees. 38 percent of the employees work as investment advisers or researchers. 5 employees are registered as investment adviser representatives with the state securities authorities.

There are 6 people with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Robert Wayne Nichols has been acting as President since 1 Jan 1996. Kenneth Glen Kilpo joined the executive team most recently as the Director.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Robert Wayne Nichols	Chairman	1 Jan 1996	Other	347698
Bennett Edward Gross	President	1 Jan 1996	Other	1420440
Stephen Thomas Smetana	Chief financial officer	1 Feb 1996	Other	2729443
The Windward Capital Group	Direct owner	1 Sep 1997	75% - 100%	95-4649878
Stephan Robert Pene	Chief compliance officer, cfo	1 Oct 2004	Other	1776808
Donald Robert Bessler	Cio	1 Nov 2004	Other	2339382
Kenneth Glen Kilpo	Director	1 Aug 2005	Other	2541429

Indirect Owners

The SEC currently registers 1 indirect owner.

Name	Entity	Date acquired	Ownership	Employer ID
Robert Wayne Nichols	Chairman	1 Sep 1997	50% - 75%	347698

Based in Los Angeles

The principal office where Windward Capital Management Co performs its advisory services is located at 11111 Santa Monica Boulevard, Los Angeles, CA 90025, 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 310-893-3000 or by fax 310-893-3001. The normal business hours are 8am to 5pm on Monday - Friday. You can find more information about the New York firm at windwardcapital.com.