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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

WINTERS FINANCIAL GROUP, INC.

CRD 309549

WESTLAKE VILLAGE, CA

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:dce3110b-1cdf-8738-3005-e2a9948d442c

Data as of Mar 21, 2026 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 10:55 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: May 20, 2021 to Mar 21, 2026
19 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=0.93 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false bd_reps=2.0
Regulatory AUM: $252MItem 5.F on the latest filing (2026-03-21); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $235MderivedItem 5.D individuals plus high net worth individuals
Private client share: 93%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $126Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 3
Advisory employees: 2
Offices: 2Schedule D 1.F, beyond the principal office
Accounts: 634
Individual clients: 173
High net worth clients: 71
SEC number: 801-121556
CRD: 309549
Filings on the tape: 19
First filed: May 20, 2021
Latest filed: Mar 21, 2026
Organised: Corporation, CA
Website: wintersfg.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
Richard Kevin Winters	n/a	WESTLAKE VILLAGE, CA \| PHOENIX, AZ \| SCOTTSDALE, AZ	5	26	3	yes
Nicholas Robert Winters	Certified Financial Planner	WESTLAKE VILLAGE, CA \| PHOENIX, AZ	5	12	1	yes

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
WINTERS, RICHARD, KEVIN	OWNER AND CHIEF COMPLIANCE OFFICER	E	yes	04/1999	May 20, 2021	Oct 21, 2024
Winters, Janice, Elizabeth	Owner	B	no	04/1999	May 20, 2021	Oct 21, 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	yes

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 21, 2026	$252M	$0	3	2	2	n/a	n/a
2024	Mar 4, 2025	$202M	$0	3	2	2	n/a	n/a
2023	Mar 22, 2024	$169M	$0	3	2	1	n/a	n/a
2022	Mar 21, 2023	$168M	$0	3	2	1	n/a	n/a
2021	Mar 22, 2022	$136M	$0	3	2	1	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	0

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	$252M	$202M	24.7%	$168M	14.5%	3	3	2	2

Relationships

Registered with (3)

← Nicholas Robert WintersAdvisorregistration: current employment
Aug 3, 2021 to presentfactForm ADV
← Richard Kevin WintersAdvisorregistration: current employment
Oct 15, 2020 to presentfactForm ADV
← Bruk A CampbellAdvisorregistration: previous registration
May 24, 2021 to May 13, 2022factForm ADV

Controls (1)

← WINTERS, RICHARD, KEVINOwnerOWNER AND CHIEF COMPLIANCE OFFICER, ownership code E, individual
May 20, 2021 to Oct 21, 2024factForm ADV

Owns (1)

← Winters, Janice, ElizabethOwnerOWNER, ownership code B, individual
May 20, 2021 to Oct 21, 2024factForm ADV

Dated events

Occurred
May 13, 2022
Advisor changed firm
Bruk A Campbell left Winters Financial Group, Inc. for Sierra Investment Management, Llc (registered 2024-04-04)
Form ADVobserved 3 days ago
Occurred
May 20, 2021
First Form ADV filing
Winters Financial Group, Inc. filed its initial SEC registration (Form ADV)
Form ADVobserved 3 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:dce3110b-1cdf-8738-3005-e2a9948d442c
First observed: May 20, 2021
Last observed: Mar 21, 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.

WINTERS FINANCIAL GROUP, INC.

CRD 309549

WESTLAKE VILLAGE, CA

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:dce3110b-1cdf-8738-3005-e2a9948d442c

Data as of Mar 21, 2026 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 10:55 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

Richard Kevin Winters

n/a

WESTLAKE VILLAGE, CA | PHOENIX, AZ | SCOTTSDALE, AZ

yes

Nicholas Robert Winters

Certified Financial Planner

WESTLAKE VILLAGE, CA | PHOENIX, AZ

yes

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

WINTERS, RICHARD, KEVIN

OWNER AND CHIEF COMPLIANCE OFFICER

yes

04/1999

May 20, 2021

Oct 21, 2024

Winters, Janice, Elizabeth

Owner

04/1999

May 20, 2021

Oct 21, 2024

City

State

Country

Employees

Also broker-dealer

n/a

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 21, 2026

$252M

n/a

2024

Mar 4, 2025

$202M

n/a

2023

Mar 22, 2024

$169M

n/a

2022

Mar 21, 2023

$168M

n/a

2021

Mar 22, 2022

$136M

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

$252M

$202M

24.7%

$168M

14.5%