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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

WINDSOR FINANCIAL GROUP LLC

CRD 107462

MINNEAPOLIS, MN

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:e2dfd5c3-9303-2ae5-8ab2-58fdf4a2c07a

Data as of Apr 10, 2017 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:21 PM UTC and rebuilt at most every 15 minutes.

Relationships: 15
Dated events: 0
On other graphs: 0
Observed: Feb 22, 2012 to Apr 10, 2017
12 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: $539MItem 5.F on the latest filing (2017-04-10); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $539M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 12
Advisory employees: 7
Accounts: 801
SEC number: 801-55485
CRD: 107462
Filings on the tape: 12
First filed: Feb 22, 2012
Latest filed: Apr 10, 2017
Organised: Limited Liability Company, Minnesota

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
ESTLICK, TYRON, KENT	Shareholder	D	yes	05/2005	Feb 22, 2012	Apr 10, 2017
ESTLICK, TYRON, KENT	FOUNDER/GOVERNOR	Na	yes	04/1998	Feb 22, 2012	Apr 10, 2017
FINANCIAL INVESTORS GROUP OF MINNESOTA, INC.	PARENT CORP	E	yes	04/1998	Feb 22, 2012	Apr 10, 2017
KOCH, DAVID, OWEN	Shareholder	F	yes	05/2005	Feb 22, 2012	Apr 10, 2017
ALBRECHT, TONY, JOHN	Shareholder	F	no	05/2005	Feb 22, 2012	Apr 10, 2017
KOCH, DAVID, OWEN	PRESIDENT/CHIEF COMPLIANCE OFFICER	Na	no	10/2004	Feb 22, 2012	Apr 10, 2017

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
CAPFINANCIAL PARTNERS, LLC	n/a	Institutional manager	$1237B	N	yes	n/a
CAPFINANCIAL SECURITIES, LLC.	n/a	Former SEC adviser	$116B	N	yes	n/a
PENSIONMARK FINANCIAL GROUP, LLC	n/a	Other adviser	$72B	N	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
2016	Mar 31, 2017	$539M	$539M	12	7	n/a	n/a	n/a
2015	Mar 15, 2016	$515M	$515M	13	8	n/a	n/a	n/a
2014	Mar 13, 2015	$966M	$511M	14	8	n/a	n/a	n/a
2013	Mar 18, 2014	$1.3B	$500M	14	9	n/a	n/a	n/a
2012	Feb 26, 2013	$1.4B	$461M	12	9	n/a	n/a	n/a
2011	Feb 22, 2012	$1.8B	$389M	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
2016	$539M	$515M	4.7%	$1.3B	-24.7%	12	13	n/a	n/a

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
Captrust	4	Sep 1, 2017	Mar 9, 2017	MINNEAPOLIS, MN	Firm absorbed	Other	100.0%

Relationships

Affiliated with (3)

→ CAPTRUST FINANCIAL ADVISORSRegistered adviserbroker-dealer, common control
factForm ADV
→ CAPTRUSTRegistered adviserother investment adviser, common control
factForm ADV
→ WORLD INVESTMENT ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV

Controls (3)

← KOCH, DAVID, OWENOwnerSHAREHOLDER, ownership code F, individual
Feb 22, 2012 to presentfactForm ADV
← ESTLICK, TYRON, KENTOwnerSHAREHOLDER, ownership code D, individual
Feb 22, 2012 to presentfactForm ADV
← FINANCIAL INVESTORS GROUP OF MINNESOTA, INC.OwnerPARENT CORP, ownership code E, domestic entity
Feb 22, 2012 to presentfactForm ADV

Owns (2)

← KOCH, DAVID, OWENOwnerPRESIDENT/CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Feb 22, 2012 to presentfactForm ADV
← ALBRECHT, TONY, JOHNOwnerSHAREHOLDER, ownership code F, individual
Feb 22, 2012 to presentfactForm ADV

Registered with (5)

← David Owen KochAdvisorregistration: previous registration
Jun 29, 2015 to Sep 1, 2017factForm ADV
← Tiffany Lydia WalkerAdvisorregistration: previous registration
Jan 3, 2017 to Sep 1, 2017factForm ADV
← Thomas SaundersAdvisorregistration: previous registration
Jun 23, 2015 to Sep 1, 2017factForm ADV
← Joshua HillAdvisorregistration: previous registration
Jun 29, 2015 to Sep 1, 2017factForm ADV
← JAMES TRACY RICHARDSAdvisorregistration: previous registration
Jun 4, 2004 to Feb 17, 2010factForm ADV

Moved with (1)

→ CAPTRUSTRegistered adviser4 advisors, firm absorbed, same day
Sep 1, 2017 to Mar 9, 2017factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e2dfd5c3-9303-2ae5-8ab2-58fdf4a2c07a
First observed: Feb 22, 2012
Last observed: Apr 10, 2017 115 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 FINANCIAL GROUP LLC

CRD 107462

MINNEAPOLIS, MN

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:e2dfd5c3-9303-2ae5-8ab2-58fdf4a2c07a

Data as of Apr 10, 2017 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:21 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ESTLICK, TYRON, KENT

Shareholder

yes

05/2005

Feb 22, 2012

Apr 10, 2017

ESTLICK, TYRON, KENT

FOUNDER/GOVERNOR

yes

04/1998

Feb 22, 2012

Apr 10, 2017

FINANCIAL INVESTORS GROUP OF MINNESOTA, INC.

PARENT CORP

yes

04/1998

Feb 22, 2012

Apr 10, 2017

KOCH, DAVID, OWEN

Shareholder

yes

05/2005

Feb 22, 2012

Apr 10, 2017

ALBRECHT, TONY, JOHN

Shareholder

05/2005

Feb 22, 2012

Apr 10, 2017

KOCH, DAVID, OWEN

PRESIDENT/CHIEF COMPLIANCE OFFICER

10/2004

Feb 22, 2012

Apr 10, 2017

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

CAPFINANCIAL PARTNERS, LLC

n/a

Institutional manager

$1237B

yes

n/a

CAPFINANCIAL SECURITIES, LLC.

n/a

Former SEC adviser

$116B

yes

n/a

PENSIONMARK FINANCIAL GROUP, LLC

n/a

Other adviser

$72B

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2016

Mar 31, 2017

$539M

n/a

2015

Mar 15, 2016

$515M

n/a

2014

Mar 13, 2015

$966M

$511M

n/a

2013

Mar 18, 2014

$1.3B

$500M

n/a

2012

Feb 26, 2013

$1.4B

$461M

n/a

2011

Feb 22, 2012

$1.8B

$389M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2016

$539M

$515M

4.7%

$1.3B

-24.7%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

Captrust

Sep 1, 2017

Mar 9, 2017

MINNEAPOLIS, MN

Firm absorbed

Other

100.0%