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
Open Window Financial Solutions, Ltd.
Latest filing Mar 17, 2026
First filing on the tape Dec 14, 2011 · 29 filings
SEC status approved since Dec 14, 2018
RAUM
$284M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
89%
$252M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$94.8M
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$284M as of Mar 17, 2026
Mar 19, 2012$55.5M then
HNW client RAUM$236M as of Mar 17, 2026
Mar 16, 2019$87.7M then
State-registered IARs (5.B.3)3 as of Mar 17, 2026
Mar 19, 20120 then
Employees (5.A)6 as of Mar 17, 2026
Mar 16, 20194 then
Private funds: no history
RAUM +16% over the last fiscal year+16% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 17, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $94.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 30derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.6MderivedHNW RAUM over HNW clients
- Average account
- $891,547derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.1%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $150M, 56 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$236M83%
- Pension and profit-sharing plans$32.1M11%
- Individuals$15.9M5.6%
- Individual clients
- 26reported
- HNW clients
- 65reported
- Pension plan clients
- 10reported
- Charitable clients
- n/areported
- Accounts
- 319reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $150M for 56 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.89 fund_share=0.0 institutional_share=0.11 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Joseph Robert HollenCertified Financial Planner | Reno, Nv | Jun 2, 2004 | 22 y | 0 |
| Eric Anthony HollenCertified Financial Planner | Reno, Nv | Dec 13, 2011 | 14 y | 0 |
| Brendan Scott Keely | Reno, Nv | Sep 5, 2025 | 11 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
- Gregory Gage Avera to Experience Your Wealth, LLCApr 22, 2025 · RIA to RIA
- Lisa Ekin Farrier to Nest Egg Financial AdvisorsNov 10, 2016 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Anthony Eric Hollen · Owner, Chief Compliance Officercontrolsince 01/2024 · owns 50% to 75%
- Robert Joseph Hollen · Presidentcontrolsince 03/2004 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Reno, Nv · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 346 to 319Jul 3, 2025 to Mar 17, 2026
- HNW clients · 57 to 65Jul 3, 2025 to Mar 17, 2026
- Individual clients · 33 to 26Jul 3, 2025 to Mar 17, 2026
- Pension plan clients · 11 to 10Jul 3, 2025 to Mar 17, 2026
- Assets in custody · $140M to $150MJul 3, 2025 to Mar 17, 2026
- Discretionary RAUM · $246M to $284MJul 3, 2025 to Mar 17, 2026
- HNW RAUM · $199M to $236MJul 3, 2025 to Mar 17, 2026
- Individual RAUM · $19.8M to $15.9MJul 3, 2025 to Mar 17, 2026
- Pension RAUM · $27.3M to $32.1MJul 3, 2025 to Mar 17, 2026
- RAUM · $246M to $284MJul 3, 2025 to Mar 17, 2026
- Financial planning clients · 51-100 to 51-100Mar 4, 2025 to Jul 3, 2025
- Accounts · 333 to 346Sep 5, 2024 to Mar 4, 2025
- Individual clients · 34 to 33Sep 5, 2024 to Mar 4, 2025
- Assets in custody · $148M to $140MSep 5, 2024 to Mar 4, 2025
- Employees · 5 to 6Sep 5, 2024 to Mar 4, 2025
- Discretionary RAUM · $224M to $246MSep 5, 2024 to Mar 4, 2025
- HNW RAUM · $182M to $199MSep 5, 2024 to Mar 4, 2025
- Individual RAUM · $17.5M to $19.8MSep 5, 2024 to Mar 4, 2025
- Pension RAUM · $24.6M to $27.3MSep 5, 2024 to Mar 4, 2025
- RAUM · $224M to $246MSep 5, 2024 to Mar 4, 2025
- Accounts · 318 to 333Mar 16, 2023 to Mar 22, 2024
- HNW clients · 49 to 57Mar 16, 2023 to Mar 22, 2024
- Individual clients · 35 to 34Mar 16, 2023 to Mar 22, 2024
- Pension plan clients · 10 to 11Mar 16, 2023 to Mar 22, 2024
- Assets in custody · $114M to $148MMar 16, 2023 to Mar 22, 2024
- Other offices · 1 to 2Mar 16, 2023 to Mar 22, 2024
- Discretionary RAUM · $184M to $224MMar 16, 2023 to Mar 22, 2024
- HNW RAUM · $144M to $182MMar 16, 2023 to Mar 22, 2024
- Individual RAUM · $21.6M to $17.5MMar 16, 2023 to Mar 22, 2024
- Pension RAUM · $18.9M to $24.6MMar 16, 2023 to Mar 22, 2024
- RAUM · $184M to $224MMar 16, 2023 to Mar 22, 2024
- Accounts · 278 to 318Oct 24, 2022 to Mar 15, 2023
- Advisory employees · 2 to 3Oct 24, 2022 to Mar 15, 2023
- HNW clients · 48 to 49Oct 24, 2022 to Mar 15, 2023
- Individual clients · 27 to 35Oct 24, 2022 to Mar 15, 2023
- Assets in custody · $108M to $114MOct 24, 2022 to Mar 15, 2023
- State-registered IARs · 2 to 3Oct 24, 2022 to Mar 15, 2023
- Other offices · 0 to 1Oct 24, 2022 to Mar 15, 2023
- Discretionary RAUM · $186M to $184MOct 24, 2022 to Mar 15, 2023
- HNW RAUM · $146M to $144MOct 24, 2022 to Mar 15, 2023
Signals
2 dated events
- Gregory Gage Avera left Open Window Financial Solutions, Ltd. for Experience Your Wealth, Llc (registered 2025-05-01)Apr 22, 2025 · Advisor changed firm · fact
- Open Window Financial Solutions, Ltd. filed its initial SEC registration (Form ADV)Nov 15, 2018 · First SEC registration · 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
- Firm profile
- linkedin.com/company/open-window-financial-solutions-ltdreportedpublic record, Form ADV, Sep 17, 2026
- Website
- OPENWINDOW.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 775-827-0670reportedpublic record, Form ADV, Mar 17, 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
- $94.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026