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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

OPEN WINDOW FINANCIAL SOLUTIONS, LTD.

CRD 131562

RENO, NV

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:68b45a92-8f9b-3d96-ddbb-92fb8aa2d7c2

Data as of Mar 17, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:40 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 2
On other graphs: 0
Observed: Dec 14, 2011 to Mar 17, 2026
29 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.89 fund_share=0.0 institutional_share=0.11 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $284MItem 5.F on the latest filing (2026-03-17); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $284M
Private client RAUM: $252MderivedItem 5.D individuals plus high net worth individuals
Private client share: 89%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $94.8Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 6
Advisory employees: 3
Offices: 2Schedule D 1.F, beyond the principal office
Accounts: 319
Individual clients: 26
High net worth clients: 65
Custody, client assets: $150M
SEC number: 801-114451
CRD: 131562
Filings on the tape: 29
First filed: Dec 14, 2011
Latest filed: Mar 17, 2026
Organised: Corporation, NV
Website: openwindowfs.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
JOSEPH ROBERT HOLLEN	Certified Financial Planner	RENO, NV	22	22	n/a	no
ERIC ANTHONY HOLLEN	Certified Financial Planner	RENO, NV	14	14	n/a	no
Brendan Scott Keely	n/a	RENO, NV	1	11	n/a	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
HOLLEN, ERIC, ANTHONY	OWNER, CHIEF COMPLIANCE OFFICER	D	yes	01/2024	Nov 15, 2018	Sep 5, 2024
HOLLEN, JOSEPH, ROBERT	President	C	yes	03/2004	Dec 14, 2011	Sep 5, 2024

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 17, 2026	$284M	$284M	6	3	2	n/a	n/a
2024	Mar 4, 2025	$246M	$246M	6	3	2	n/a	n/a
2023	Mar 22, 2024	$224M	$224M	5	3	2	n/a	n/a
2022	Mar 15, 2023	$184M	$184M	5	3	1	n/a	n/a
2021	Mar 19, 2022	$186M	$186M	5	2	0	n/a	n/a
2020	Mar 18, 2021	$144M	$144M	4	2	0	n/a	n/a
2019	Mar 22, 2020	$131M	$131M	4	2	0	n/a	n/a
2018	Mar 16, 2019	$115M	$115M	4	2	0	n/a	n/a
2011	Mar 19, 2012	$55.5M	$55.5M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	1

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$284M	$246M	15.7%	$184M	15.5%	6	6	2	2

Relationships

Registered with (5)

← Brendan Scott KeelyAdvisorregistration: current employment
Sep 5, 2025 to presentfactForm ADV
← ERIC ANTHONY HOLLENAdvisorregistration: current employment
Dec 13, 2011 to presentfactForm ADV
← JOSEPH ROBERT HOLLENAdvisorregistration: current employment
Jun 2, 2004 to presentfactForm ADV
← Gregory Gage AveraAdvisorregistration: previous registration
Aug 24, 2022 to Apr 22, 2025factForm ADV
← LISA EKIN FARRIERAdvisorregistration: previous registration
Feb 24, 2014 to Nov 10, 2016factForm ADV

Controls (2)

← HOLLEN, JOSEPH, ROBERTOwnerPRESIDENT, ownership code C, individual
Dec 14, 2011 to Sep 5, 2024factForm ADV
← HOLLEN, ERIC, ANTHONYOwnerOWNER, CHIEF COMPLIANCE OFFICER, ownership code D, individual
Nov 15, 2018 to Sep 5, 2024factForm ADV

Dated events

Occurred
Apr 22, 2025
Advisor changed firm
Gregory Gage Avera left Open Window Financial Solutions, Ltd. for Experience Your Wealth, Llc (registered 2025-05-01)
Form ADVobserved 4 days ago
Occurred
Nov 15, 2018
First Form ADV filing
Open Window Financial Solutions, Ltd. filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:68b45a92-8f9b-3d96-ddbb-92fb8aa2d7c2
First observed: Dec 14, 2011
Last observed: Mar 17, 2026 6 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

OPEN WINDOW FINANCIAL SOLUTIONS, LTD.

CRD 131562

RENO, NV

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:68b45a92-8f9b-3d96-ddbb-92fb8aa2d7c2

Data as of Mar 17, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:40 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

JOSEPH ROBERT HOLLEN

Certified Financial Planner

RENO, NV

n/a

ERIC ANTHONY HOLLEN

Certified Financial Planner

RENO, NV

n/a

Brendan Scott Keely

n/a

RENO, NV

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

HOLLEN, ERIC, ANTHONY

OWNER, CHIEF COMPLIANCE OFFICER

yes

01/2024

Nov 15, 2018

Sep 5, 2024

HOLLEN, JOSEPH, ROBERT

President

yes

03/2004

Dec 14, 2011

Sep 5, 2024

City

State

Country

Employees

Also broker-dealer

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 17, 2026

$284M

n/a

2024

Mar 4, 2025

$246M

n/a

2023

Mar 22, 2024

$224M

n/a

2022

Mar 15, 2023

$184M

n/a

2021

Mar 19, 2022

$186M

n/a

2020

Mar 18, 2021

$144M

n/a

2019

Mar 22, 2020

$131M

n/a

2018

Mar 16, 2019

$115M

n/a

2011

Mar 19, 2012

$55.5M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$284M

$246M

15.7%

$184M

15.5%