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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

WINDSOR WEALTH MANAGEMENT, INC.

WINDSOR WEALTH MANAGEMENT OPCO LLC, CRD 105279

INDIANAPOLIS, IN

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:df185e47-bd73-9c99-4170-27ae817120d1

Data as of Oct 13, 2023 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:55 PM UTC and rebuilt at most every 15 minutes.

Relationships: 26
Dated events: 18
On other graphs: 0
Observed: Mar 5, 2012 to Oct 13, 2023
41 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $1.4BItem 5.F on the latest filing (2023-10-13); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.4B
Private client RAUM: $1.2BderivedItem 5.D individuals plus high net worth individuals
Private client share: 90%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 14
Advisory employees: 9
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 2,739
Individual clients: 540
High net worth clients: 277
Custody, client assets: $462M
SEC number: 801-28534
CRD: 105279
Filings on the tape: 41
First filed: Mar 5, 2012
Latest filed: Oct 13, 2023
Organised: Limited Liability Company, Indiana

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
CI FINANCIAL CORP.	Owner	E	yes	11/2019	Oct 13, 2023	Oct 13, 2023
CLARK, RANDALL, DEAN	Principal	Na	yes	11/1986	Mar 5, 2012	Oct 13, 2023
CORIENT HOLDINGS INC	Owner	E	yes	02/2023	Oct 13, 2023	Oct 13, 2023
CORIENT PARTNERS LLC	Owner	F	yes	01/2022	Oct 13, 2023	Oct 13, 2023
CORIENT PRIVATE WEALTH LLC	Owner	E	yes	10/2023	Oct 13, 2023	Oct 13, 2023
LEACH, JAMES, MICHAEL	Principal	Na	yes	01/2020	Apr 6, 2020	Oct 13, 2023
MITZELL, CHANNING, FREDERICK	Principal	Na	yes	11/1986	Mar 5, 2012	Oct 13, 2023
SHUPE, BRIAN, TODD	Principal	Na	yes	07/2000	Mar 5, 2012	Oct 13, 2023
ULSAS, MATTHEW, BRIAN	CHIEF COMPLIANCE OFFICER	Na	no	03/2008	Mar 5, 2012	Oct 13, 2023

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
CORIENT PRIVATE WEALTH LLC	n/a	Independent wealth	$165B	Y	yes	n/a
NATIONAL ADVISORS HOLDINGS, INC.	n/a	n/a	n/a	N	no	n/a
NATIONAL ADVISORS TRUST COMPANY	n/a	n/a	n/a	N	no	n/a
STERLING RESOURCES	n/a	n/a	n/a	Y	yes	n/a

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
2022	Mar 20, 2023	$1.4B	$1.4B	14	9	0	n/a	n/a
2021	Mar 8, 2022	$1.9B	$1.9B	16	11	0	n/a	n/a
2020	Mar 22, 2021	$1.7B	$1.7B	15	10	0	n/a	n/a
2019	Feb 25, 2020	$1.5B	$1.5B	18	10	0	n/a	n/a
2018	Mar 1, 2019	$1.2B	$1.2B	16	10	0	n/a	n/a
2017	Mar 12, 2018	$1.2B	$1.2B	16	9	0	n/a	n/a
2016	Feb 27, 2017	$979M	$979M	14	9	n/a	n/a	n/a
2015	Feb 23, 2016	$857M	$857M	13	9	n/a	n/a	n/a
2014	Feb 27, 2015	$830M	$830M	12	8	n/a	n/a	n/a
2013	Feb 13, 2014	$800M	$800M	12	7	n/a	n/a	n/a
2012	Feb 25, 2013	$724M	$724M	12	8	n/a	n/a	n/a
2011	Mar 5, 2012	$618M	$618M	n/a	n/a	n/a	n/a	n/a

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
2022	$1.4B	$1.9B	-29.3%	$1.5B	-1.8%	14	16	0	0

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
Corient	4	Nov 13, 2023	Oct 31, 2023	MIAMI, FL	Firm absorbed	RIA to RIA	50.0%
Corient	4	Nov 13, 2023	Oct 31, 2023	INDIANAPOLIS, IN	Firm absorbed	RIA to RIA	50.0%
SANCTUARY ADVISORS, LLC	2	Mar 15, 2022	Feb 15, 2022	MIAMI, FL	Team lift out	RIA to ibd	22.2%

Relationships

Affiliated with (1)

→ CORIENTRegistered adviserother investment adviser, control, common control
factForm ADV

Controls (8)

← CLARK, RANDALL, DEANOwnerPRINCIPAL, ownership code NA, individual
Mar 5, 2012 to presentfactForm ADV
← MITZELL, CHANNING, FREDERICKOwnerPRINCIPAL, ownership code NA, individual
Mar 5, 2012 to presentfactForm ADV
← SHUPE, BRIAN, TODDOwnerPRINCIPAL, ownership code NA, individual
Mar 5, 2012 to presentfactForm ADV
← LEACH, JAMES, MICHAELOwnerPRINCIPAL, ownership code NA, individual
Apr 6, 2020 to presentfactForm ADV
← CI FINANCIAL CORP.OwnerOWNER, ownership code E, foreign entity
Oct 13, 2023 to presentfactForm ADV
← CORIENT HOLDINGS INCOwnerOWNER, ownership code E, domestic entity
Oct 13, 2023 to presentfactForm ADV
← CORIENT PARTNERS LLCOwnerOWNER, ownership code F, domestic entity
Oct 13, 2023 to presentfactForm ADV
← CORIENT PRIVATE WEALTH LLCOwnerOWNER, ownership code E, domestic entity
Oct 13, 2023 to presentfactForm ADV

Owns (1)

← ULSAS, MATTHEW, BRIANOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 5, 2012 to presentfactForm ADV

Registered with (13)

← RANDALL DEAN CLARKAdvisorregistration: previous registration
Dec 9, 1998 to Nov 13, 2023factForm ADV
← ROBERT STEPHEN KASPARAdvisorregistration: previous registration
Dec 29, 2000 to Nov 13, 2023factForm ADV
← SANDRA RUTH VILLIGERAdvisorregistration: previous registration
Dec 9, 1998 to Nov 13, 2023factForm ADV
← BRIAN TODD SHUPEAdvisorregistration: previous registration
Dec 9, 1998 to Nov 13, 2023factForm ADV
← MATTHEW BRIAN ULSASAdvisorregistration: previous registration
Dec 9, 1998 to Nov 13, 2023factForm ADV
← JAMES MICHAEL LEACHAdvisorregistration: previous registration
Oct 1, 2019 to Nov 13, 2023factForm ADV
← Mark A WittlederAdvisorregistration: previous registration
Apr 19, 2023 to Nov 13, 2023factForm ADV
← BRET JAMES HORSFIELDAdvisorregistration: previous registration
Jun 28, 2021 to Nov 13, 2023factForm ADV
← Frank Joseph EspositoAdvisorregistration: previous registration
Dec 17, 2015 to Mar 15, 2022factForm ADV
← Niki Fowler WoodworthAdvisorregistration: previous registration
Apr 15, 2020 to Mar 15, 2022factForm ADV
← Timothy T WrightAdvisorregistration: previous registration
Nov 20, 2019 to Jan 12, 2021factForm ADV
← JAMIE NICOLE VLADUCHICKAdvisorregistration: previous registration
Jan 29, 2014 to May 26, 2020factForm ADV
← DEAN PAUL WESELIAdvisorregistration: previous registration
Mar 17, 2014 to Jun 3, 2019factForm ADV

Moved with (2)

→ CORIENTRegistered adviser4 advisors, firm absorbed, same day
Nov 13, 2023 to Oct 31, 2023factForm ADV
→ SANCTUARY ADVISORS, LLCRegistered adviser2 advisors, team lift out, same day
Mar 15, 2022 to Feb 15, 2022factForm ADV

Dated events

Occurred
Nov 13, 2023
Firm absorbed
Windsor Wealth Management, Inc.'s advisors moved to Corient (Miami, FL): 4 of 8 registered, on the same day
Form ADVobserved 6 days ago
4 advisors
Occurred
Nov 13, 2023
Firm absorbed
Windsor Wealth Management, Inc.'s advisors moved to Corient (Indianapolis, IN): 4 of 8 registered, on the same day
Form ADVobserved 6 days ago
4 advisors
Occurred
Nov 13, 2023
Advisor changed firm
Matthew Brian Ulsas left Windsor Wealth Management, Inc. for Corient (registered 2023-10-31)
Form ADVobserved 6 days ago
Occurred
Nov 13, 2023
Advisor changed firm
Sandra Ruth Villiger left Windsor Wealth Management, Inc. for Corient (registered 2023-10-31)
Form ADVobserved 6 days ago
Occurred
Nov 13, 2023
Advisor changed firm
Bret James Horsfield left Windsor Wealth Management, Inc. for Corient (registered 2023-10-31)
Form ADVobserved 6 days ago
Occurred
Nov 13, 2023
Advisor changed firm
James Michael Leach left Windsor Wealth Management, Inc. for Corient (registered 2023-10-31)
Form ADVobserved 6 days ago
Occurred
Nov 13, 2023
Advisor changed firm
Robert Stephen Kaspar left Windsor Wealth Management, Inc. for Corient (registered 2023-10-31)
Form ADVobserved 6 days ago
Occurred
Nov 13, 2023
Advisor changed firm
Randall Dean Clark left Windsor Wealth Management, Inc. for Corient (registered 2023-10-31)
Form ADVobserved 6 days ago
Occurred
Nov 13, 2023
Advisor changed firm
Mark A Wittleder left Windsor Wealth Management, Inc. for Corient (registered 2023-10-31)
Form ADVobserved 6 days ago
Occurred
Nov 13, 2023
Advisor changed firm
Brian Todd Shupe left Windsor Wealth Management, Inc. for Corient (registered 2023-10-31)
Form ADVobserved 6 days ago
Occurred
Oct 13, 2023
Control person left
Stephen Robert Kaspar (Member) no longer on Schedule A of Windsor Wealth Management, Inc. (listed 2023-10-11, absent 2023-10-13)
Form ADVobserved 6 days ago
Occurred
Oct 5, 2023
Control person joined
Stephen Robert Kaspar (Member) appeared on Schedule A of Windsor Wealth Management, Inc.
Form ADVobserved 6 days ago
Occurred
Mar 20, 2023
Regulatory AUM changed
Windsor Wealth Management, Inc. reported RAUM $1.4B, down 29% from $1.9B (2022-11-04 to 2023-03-20)
Form ADVobserved 6 days ago
$-569M
Occurred
Mar 15, 2022
Control person left
Joseph Frank Esposito (Principal) no longer on Schedule A of Windsor Wealth Management, Inc. (listed 2022-03-08, absent 2022-03-15)
Form ADVobserved 6 days ago
Occurred
Mar 15, 2022
Team lift-out
2 advisors left Windsor Wealth Management, Inc. (Miami, FL) for Sanctuary Advisors, LLC on the same day
Form ADVobserved 6 days ago
2 advisors
Occurred
Mar 15, 2022
Advisor changed firm
Niki Fowler Woodworth left Windsor Wealth Management, Inc. for Sanctuary Advisors, Llc (registered 2022-02-15)
Form ADVobserved 6 days ago
Occurred
Mar 15, 2022
Advisor changed firm
Frank Joseph Esposito left Windsor Wealth Management, Inc. for Sanctuary Advisors, Llc (registered 2022-02-15)
Form ADVobserved 6 days ago
Occurred
Apr 6, 2020
Control person joined
Michael James Leach (Principal) appeared on Schedule A of Windsor Wealth Management, Inc.
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:df185e47-bd73-9c99-4170-27ae817120d1
First observed: Mar 5, 2012
Last observed: Oct 13, 2023 35 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.

WINDSOR WEALTH MANAGEMENT, INC.

WINDSOR WEALTH MANAGEMENT OPCO LLC, CRD 105279

INDIANAPOLIS, IN

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:df185e47-bd73-9c99-4170-27ae817120d1

Data as of Oct 13, 2023 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:55 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CI FINANCIAL CORP.

Owner

yes

11/2019

Oct 13, 2023

CLARK, RANDALL, DEAN

Principal

yes

11/1986

Mar 5, 2012

Oct 13, 2023

CORIENT HOLDINGS INC

Owner

yes

02/2023

Oct 13, 2023

CORIENT PARTNERS LLC

Owner

yes

01/2022

Oct 13, 2023

CORIENT PRIVATE WEALTH LLC

Owner

yes

10/2023

Oct 13, 2023

LEACH, JAMES, MICHAEL

Principal

yes

01/2020

Apr 6, 2020

Oct 13, 2023

MITZELL, CHANNING, FREDERICK

Principal

yes

11/1986

Mar 5, 2012

Oct 13, 2023

SHUPE, BRIAN, TODD

Principal

yes

07/2000

Mar 5, 2012

Oct 13, 2023

ULSAS, MATTHEW, BRIAN

CHIEF COMPLIANCE OFFICER

03/2008

Mar 5, 2012

Oct 13, 2023

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

CORIENT PRIVATE WEALTH LLC

n/a

Independent wealth

$165B

yes

n/a

NATIONAL ADVISORS HOLDINGS, INC.

n/a

NATIONAL ADVISORS TRUST COMPANY

n/a

STERLING RESOURCES

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2022

Mar 20, 2023

$1.4B

n/a

2021

Mar 8, 2022

$1.9B

n/a

2020

Mar 22, 2021

$1.7B

n/a

2019

Feb 25, 2020

$1.5B

n/a

2018

Mar 1, 2019

$1.2B

n/a

2017

Mar 12, 2018

$1.2B

n/a

2016

Feb 27, 2017

$979M

n/a

2015

Feb 23, 2016

$857M

n/a

2014

Feb 27, 2015

$830M

n/a

2013

Feb 13, 2014

$800M

n/a

2012

Feb 25, 2013

$724M

n/a

2011

Mar 5, 2012

$618M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2022

$1.4B

$1.9B

-29.3%

$1.5B

-1.8%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

Corient

Nov 13, 2023

Oct 31, 2023

MIAMI, FL

Firm absorbed

RIA to RIA

50.0%

Corient

Nov 13, 2023

Oct 31, 2023

INDIANAPOLIS, IN

Firm absorbed

RIA to RIA

50.0%

SANCTUARY ADVISORS, LLC

Mar 15, 2022

Feb 15, 2022

MIAMI, FL

Team lift out

RIA to ibd

22.2%