DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Windward Capital Management Co
Latest filing Jun 10, 2026
First filing on the tape Jan 25, 2012 · 39 filings
SEC status approved since Dec 14, 1995
RAUM
$1.9B
reported, Item 5.F
Discretionary
69%
of RAUM
Private clients
65%
$1.2B individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$620M
derived; firm RAUM over IAPD count
Employees
7
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
39 filings and snapshots on the tape
RAUM$1.9B as of Jun 10, 2026
Jan 25, 2012$230M then
HNW client RAUM$1.2B as of Jun 10, 2026
Feb 1, 2018$651M then
State-registered IARs (5.B.3)3 as of Jun 10, 2026
Feb 6, 20136 then
Employees (5.A)7 as of Jun 10, 2026
Feb 6, 201311 then
Private funds1 as of Feb 17, 2017
Jan 24, 20141 then
RAUM +40% over the last fiscal year+26% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jun 10, 2026; every figure names its basis
Archetypes, each a printed rule
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $620MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 42derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $16.0MderivedHNW RAUM over HNW clients
- Average account
- $6.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 69%derivedof RAUM
- Institutional
- 35%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +40%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +14%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, otherreportedItem 5.G
- Custody
- $163M, 70 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.2B63%
- Pension and profit-sharing plans$642M34%
- Individuals$24.6M1.3%
- Charitable organizations$9.3M0.5%
- Corporations and businesses$4.3M0.2%
- Individual clients
- 53reported
- HNW clients
- 74reported
- Pension plan clients
- 35reported
- Charitable clients
- 4reported
- Accounts
- 278reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $163M for 70 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.65 fund_share=0.0 institutional_share=0.35 related_bd=true related_bank=false bd_reps=6.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Kenneth Glen Kilpo | Los Angeles, Ca | Aug 18, 2003 | 31 y | 0 |
| Donald Robert Bessler | Los Angeles, Ca | Aug 23, 2004 | 33 y | 2 |
| Joseph Colin Robillard | Los Angeles, Ca | Aug 24, 2023 | 15 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- Shannon Nichols Kerber to J.P. Morgan Securities LLCAug 14, 2024 · RIA to wirehouse
- Reed Nichols to Cuna Brokerage Services, Inc.Jan 2, 2014 · Other
- Bennett Edward Gross to Pacific Income Advisers IncJul 15, 2004 · Other
- Michael Thomas Anderson to Raymond James Financial Services, Inc.Jun 9, 2004 · Other
Joined, latest
- Shannon Nichols Kerber from Morgan StanleyJan 11, 2022 · Wirehouse to independent RIA
- Donald Robert Bessler from First American TrustAug 23, 2004 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S.L. Reed Partners, L.P.no longer reported | Hedge Fund | $16.2M | 11 | Jan 24, 2014 |
Owners and control persons
Schedule A and B, latest filing
- Robert Donald Bessler · Ciocontrolsince 11/2004 · owns less than 5%
- Ronald Jeremy Johnson · Chief Compliance Officercontrolsince 06/2026 · owns less than 5%
- Glen Kenneth Kilpo · Directorcontrolsince 08/2005 · owns less than 5%
- Colin Joseph Robillard · Presidentcontrolsince 03/2023 · owns 75% or more
- Colin Joseph Robillard · Presidentcontrolsince 03/2023 · owns F of Windward Group Holding Co., LLC
- Feria Vina Aileen Farrales · Chief Compliance Officersince 02/2024 · owns less than 5%
Entity owners
- The Windward Capital Group · Direct Ownerdirect · owns 75% or more
- Windward Group Holding Co., LLC · Direct Ownerindirect · owns 75% or more of The Windward Capital Group
Related persons
Schedule D 7.A
- S.L. Reed & Companybroker-dealern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Los Angeles, Ca · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
6 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jun 10, 2026JOHNSON, JEREMY, RONALD (CHIEF COMPLIANCE OFFICER) appeared on Schedule A between the filings of 2024-03-29 and 2026-06-10peers: independent wealth managers, $1B to $5B (1,360)
- wealth to institutional shiftCombination · filing Apr 3, 2026private-client share fell 15 points or more while institutional share rose 15 points or more. RAUM $1,326,123,739 to $1,860,949,041, advisors 3 to 3, private clients 111 to 127, offices 0 to 0 (2025-03-25 to 2026-04-03)peers: independent wealth managers, $1B to $5B (1,360)
- client mix shiftChange between filings · filing Apr 3, 2026private-client share of RAUM moved from 91.0% to 65.0% between the annual amendments of 2025-03-25 and 2026-04-03peers: independent wealth managers, $1B to $5B (1,360)
- discretionary share shiftChange between filings · filing Apr 3, 2026discretionary share of RAUM moved from 100.0% to 69.0% between the annual amendments of 2025-03-25 and 2026-04-03peers: independent wealth managers, $1B to $5B (1,360)
- HNW share shiftChange between filings · filing Apr 3, 2026HNW share of RAUM moved from 90.0% to 63.0% between the annual amendments of 2025-03-25 and 2026-04-03peers: independent wealth managers, $1B to $5B (1,360)
- institutional asset share shiftChange between filings · filing Apr 3, 2026institutional share of RAUM moved from 9.0% to 35.0% between the annual amendments of 2025-03-25 and 2026-04-03peers: independent wealth managers, $1B to $5B (1,360)
What changed
consecutive filings, newest first
- Accounts · 207 to 278Aug 18, 2025 to Mar 27, 2026
- Advisory activities · 4 to 5Aug 18, 2025 to Mar 27, 2026
- BD registered reps · 7 to 6Aug 18, 2025 to Mar 27, 2026
- Charity clients · 5 to 4Aug 18, 2025 to Mar 27, 2026
- Corporate clients · 2 to 3Aug 18, 2025 to Mar 27, 2026
- HNW clients · 79 to 74Aug 18, 2025 to Mar 27, 2026
- Individual clients · 32 to 53Aug 18, 2025 to Mar 27, 2026
- Pension plan clients · 7 to 35Aug 18, 2025 to Mar 27, 2026
- Assets in custody · $200M to $163MAug 18, 2025 to Mar 27, 2026
- Employees · 8 to 7Aug 18, 2025 to Mar 27, 2026
- Discretionary RAUM · $1.3B to $1.3BAug 18, 2025 to Mar 27, 2026
- HNW RAUM · $1.2B to $1.2BAug 18, 2025 to Mar 27, 2026
- Individual RAUM · $18.8M to $24.6MAug 18, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $0 to $583MAug 18, 2025 to Mar 27, 2026
- Pension RAUM · $55.4M to $642MAug 18, 2025 to Mar 27, 2026
- RAUM · $1.3B to $1.9BAug 18, 2025 to Mar 27, 2026
- Advisory activities · 2 to 4Mar 25, 2025 to Aug 18, 2025
- Accounts · 216 to 207Nov 19, 2024 to Mar 25, 2025
- Advisory employees · 5 to 3Nov 19, 2024 to Mar 25, 2025
- BD registered reps · 8 to 7Nov 19, 2024 to Mar 25, 2025
- Charity clients · unset to 5.0Nov 19, 2024 to Mar 25, 2025
- HNW clients · 195 to 79Nov 19, 2024 to Mar 25, 2025
- Individual clients · unset to 32.0Nov 19, 2024 to Mar 25, 2025
- Pension plan clients · 9 to 7Nov 19, 2024 to Mar 25, 2025
- Assets in custody · unset to 199940587.0Nov 19, 2024 to Mar 25, 2025
- Custody of client assets · false to trueNov 19, 2024 to Mar 25, 2025
- Employees · 9 to 8Nov 19, 2024 to Mar 25, 2025
- Financial planning clients · unset to Nov 19, 2024 to Mar 25, 2025
- State-registered IARs · 5 to 3Nov 19, 2024 to Mar 25, 2025
- Discretionary RAUM · $1.2B to $1.3BNov 19, 2024 to Mar 25, 2025
- HNW RAUM · $1.1B to $1.2BNov 19, 2024 to Mar 25, 2025
- Individual RAUM · unset to 18773632.0Nov 19, 2024 to Mar 25, 2025
- Pension RAUM · $55.4M to $55.4MNov 19, 2024 to Mar 25, 2025
- RAUM · $1.2B to $1.3BNov 19, 2024 to Mar 25, 2025
- Wrap assets (manager) · 4956490.0 to unsetNov 19, 2024 to Mar 25, 2025
- Wrap assets (sponsor) · 0.0 to unsetNov 19, 2024 to Mar 25, 2025
- Advisory employees · 4 to 5Jan 30, 2024 to Mar 29, 2024
- BD registered reps · 10 to 8Jan 30, 2024 to Mar 29, 2024
- Employees · 11 to 9Jan 30, 2024 to Mar 29, 2024
- State-registered IARs · 4 to 5Jan 30, 2024 to Mar 29, 2024
Signals
7 dated events
- Windward Capital Management Co reported RAUM $1.9B, up 40% from $1.3B (2025-08-18 to 2026-03-27)Mar 27, 2026 · RAUM change · derived
- Shannon Nichols Kerber left Windward Capital Management Co for J.P. Morgan Securities Llc (registered 2026-06-30)Aug 14, 2024 · Advisor changed firm · fact
- Robert Stephan Pene (Chief Compliance Officer, Cfo) no longer on Schedule A of Windward Capital Management Co (listed 2024-01-30, absent 2024-03-29)Mar 29, 2024 · Control person left · inference
- Windward Capital Management Co reported RAUM $1.2B, up 26% from $940.0M (2023-04-28 to 2024-01-30)Jan 30, 2024 · RAUM change · derived
- Wayne Robert Nichols (Ceo) no longer on Schedule A of Windward Capital Management Co (listed 2023-04-28, absent 2024-01-30)Jan 30, 2024 · Control person left · inference
- Colin Joseph Robillard (President) appeared on Schedule A of Windward Capital Management CoApr 28, 2023 · Control person joined · fact
- Windward Capital Management Co reported RAUM $973.2M, up 40% from $697.6M (2019-03-27 to 2020-01-21)Jan 21, 2020 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- info@windwardcapital.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 310-893-3000reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- WINDWARDCAPITAL.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 310-893-3000reportedpublic record, Form ADV, Jun 10, 2026
- Contact form
- windwardcapital.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- windwardcapital.com/teamreportedpublished by the firm, firm site, Sep 15, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $620Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026