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
Windsor Capital Management, LLC
Latest filing Jan 16, 2026
First filing on the tape Dec 19, 2011 · 59 filings
SEC status approved since Apr 28, 2005
RAUM
$703M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
89%
$624M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$117M
derived; firm RAUM over IAPD count
Employees
8
5 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
59 filings and snapshots on the tape
RAUM$703M as of Jan 16, 2026
Jan 31, 2012$368M then
HNW client RAUM$374M as of Jan 16, 2026
Feb 27, 2018$270M then
State-registered IARs (5.B.3)5 as of Jan 16, 2026
Feb 4, 20136 then
Employees (5.A)8 as of Jan 16, 2026
Feb 4, 20138 then
Private funds: no history
RAUM +5.8% over the last fiscal year+6.2% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Jan 16, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- RAUM per advisor
- $117MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 76derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $584,222derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 7.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.5derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.3%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, otherreportedItem 5.G
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$374M53%
- Individuals$250M35%
- Pension and profit-sharing plans$46.1M6.5%
- Corporations and businesses$24.4M3.5%
- Charitable organizations$8.9M1.3%
- Individual clients
- 275reported
- HNW clients
- 183reported
- Pension plan clients
- 66reported
- Charitable clients
- 6reported
- Accounts
- 1,204reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.89 fund_share=0.0 institutional_share=0.08 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Donald Edward Peppler | Phoenix, Az | Apr 8, 2008 | 32 y | 1 |
| Darren Lane Whitehurst | Phoenix, Az | Jul 21, 2008 | 33 y | 1 |
| Carolin Alaverdian | Valley Glen, Ca | Nov 24, 2008 | 28 y | 3 |
| Frederick Anthony Petrino | Phoenix, Az | Jul 29, 2009 | 36 y | 2 |
| Lewis Richard Coffey | Bloomington, Mn | Nov 1, 2013 | 15 y | 0 |
| Jackson Gerald Peppler | Phoenix, Az | Aug 12, 2026 | 10 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 headcount0 left over 36 months
Left, latest
- Ian Michael Freemire to Mercer Global Advisors Inc.Mar 21, 2022 · RIA to RIA
- Shannon M Gallop to Redwood Investment Management, LLC.Jun 25, 2018 · Other
- Kenneth Brian Kann to Beacon Pointe Wealth Advisors, LLCJan 27, 2017 · Other
- Robert Antoine Filmore to LPL Financial LLCOct 2, 2014 · Other
- Daniel H Rosenberg to Advisor Solutions, LLC.Oct 15, 2009 · Other
Joined, latest
- Ian Michael Freemire from Fidelity Personal And Workplace AdvisorsFeb 27, 2019 · Affiliated broker-dealer or bank to independent RIA
- Shannon M Gallop from E*Trade Capital Management, LLCFeb 10, 2017 · Other
- Kenneth Brian Kann from E*Trade Capital Management, LLCAug 19, 2010 · Other
- Frederick Anthony Petrino from Payden & RygelJul 29, 2009 · Other
- Daniel H Rosenberg from Strategic Advisers LLCJun 15, 2009 · Other
- Carolin Alaverdian from Td Ameritrade Investment Management, LLCNov 24, 2008 · Other
- Donald Edward Peppler from LPL Financial LLCApr 8, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Edward Donald Peppler · Chief Compliance Officercontrolsince 02/2008 · owns less than 5%
- Lane Darren Whitehurst · Chief Managercontrolsince 01/2000 · owns less than 5%
- Edward Donald Peppler · Presidentcontrolsince 01/2008 · owns 75% or more of Peppler Capital Advisors, Inc
- Lane Darren Whitehurst · Presidentcontrolsince 02/1999 · owns 75% or more of Whitehurst Financial Services, Inc.
Entity owners
- Peppler Capital Advisors, Inc · Ownerdirect · owns 25% to 50%
- Whitehurst Financial Services, Inc. · Ownerdirect · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Phoenix, Az · principal | 6 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Greenwood Village, CO1 employees
- Oak Brook, IL1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 1,195 to 1,204Apr 8, 2025 to Jan 16, 2026
- Corporate clients · 15 to 13Apr 8, 2025 to Jan 16, 2026
- HNW clients · 188 to 183Apr 8, 2025 to Jan 16, 2026
- Individual clients · 281 to 275Apr 8, 2025 to Jan 16, 2026
- Pension plan clients · 71 to 66Apr 8, 2025 to Jan 16, 2026
- Discretionary RAUM · $665M to $703MApr 8, 2025 to Jan 16, 2026
- HNW RAUM · $355M to $374MApr 8, 2025 to Jan 16, 2026
- Individual RAUM · $237M to $250MApr 8, 2025 to Jan 16, 2026
- Pension RAUM · $43.5M to $46.1MApr 8, 2025 to Jan 16, 2026
- RAUM · $665M to $703MApr 8, 2025 to Jan 16, 2026
- Financial planning clients · 1-10 to 1-10Feb 3, 2025 to Apr 8, 2025
- Accounts · 1,200 to 1,195Jan 22, 2024 to Feb 3, 2025
- Corporate clients · 17 to 15Jan 22, 2024 to Feb 3, 2025
- Individual clients · 282 to 281Jan 22, 2024 to Feb 3, 2025
- Pension plan clients · 85 to 71Jan 22, 2024 to Feb 3, 2025
- Other offices · 4 to 3Jan 22, 2024 to Feb 3, 2025
- Discretionary RAUM · $620M to $665MJan 22, 2024 to Feb 3, 2025
- HNW RAUM · $330M to $355MJan 22, 2024 to Feb 3, 2025
- Individual RAUM · $220M to $237MJan 22, 2024 to Feb 3, 2025
- Pension RAUM · $42.4M to $43.5MJan 22, 2024 to Feb 3, 2025
- RAUM · $620M to $665MJan 22, 2024 to Feb 3, 2025
- Accounts · 1,207 to 1,200Sep 26, 2023 to Jan 22, 2024
- Corporate clients · 21 to 17Sep 26, 2023 to Jan 22, 2024
- HNW clients · 200 to 188Sep 26, 2023 to Jan 22, 2024
- Individual clients · 298 to 282Sep 26, 2023 to Jan 22, 2024
- Pension plan clients · 81 to 85Sep 26, 2023 to Jan 22, 2024
- Discretionary RAUM · $587M to $620MSep 26, 2023 to Jan 22, 2024
- HNW RAUM · $311M to $330MSep 26, 2023 to Jan 22, 2024
- Individual RAUM · $208M to $220MSep 26, 2023 to Jan 22, 2024
- Pension RAUM · $36.7M to $42.4MSep 26, 2023 to Jan 22, 2024
- RAUM · $587M to $620MSep 26, 2023 to Jan 22, 2024
- Accounts · 1,208 to 1,207Oct 26, 2022 to Jan 24, 2023
- Advisory employees · 6 to 5Oct 26, 2022 to Jan 24, 2023
- Charity clients · 4 to 6Oct 26, 2022 to Jan 24, 2023
- Corporate clients · 26 to 21Oct 26, 2022 to Jan 24, 2023
- HNW clients · 199 to 200Oct 26, 2022 to Jan 24, 2023
- Pension plan clients · 82 to 81Oct 26, 2022 to Jan 24, 2023
- State-registered IARs · 6 to 5Oct 26, 2022 to Jan 24, 2023
- Discretionary RAUM · $626M to $587MOct 26, 2022 to Jan 24, 2023
- HNW RAUM · $331M to $311MOct 26, 2022 to Jan 24, 2023
Signals
1 dated events
- Ian Michael Freemire left Windsor Capital Management, Llc for Mercer Global Advisors Inc. (registered 2022-04-12)Mar 21, 2022 · Advisor changed firm · fact
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@windcm.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 480-515-3514reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 602-357-7457reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 630-515-1810reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- WINDCM.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 480-515-3514reportedpublic record, Form ADV, Jan 16, 2026
- Team page
- windsoradvisor.com/teamreportedpublished by the firm, firm site, Sep 16, 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
- $117Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026