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
Winona Capital Management, LLC
Latest filing Jun 18, 2026
First filing on the tape May 15, 2014 · 21 filings
SEC status approved since Jun 6, 2014
RAUM
$256M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
7
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$256M as of Jun 18, 2026
Mar 31, 2015$251M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 18, 2026
Mar 31, 20150 then
Employees (5.A)6 as of Jun 18, 2026
Mar 31, 201514 then
Private funds7 as of Jun 18, 2026
Mar 31, 20155 then
RAUM +0.4% over the last fiscal year-5.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 18, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $36.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, otherreportedItem 5.G
- Custody
- $30.6M, 2 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
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$256M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 7reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $30.6M for 2 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
10 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Winona Capital Partners II, LP | Private Equity Fund | $176M | 89 | Mar 31, 2014 |
| Wcp Ee Investor LLC | Private Equity Fund | $172M | 10 | Mar 24, 2016 |
| Winona R&G, LLC | Private Equity Fund | $44.5M | 7 | Mar 30, 2017 |
| Diono Extension, LLC | Private Equity Fund | $11.1M | 55 | Mar 30, 2021 |
| Ily Extension, LLC | Private Equity Fund | $5.5M | 54 | Mar 30, 2021 |
| Winona Kjus Co-Investor, LLCno longer reported | Private Equity Fund | $3.9M | 10 | Mar 31, 2014 |
| Winona Capital Partners, LLC | Private Equity Fund | $2.7M | 20 | Mar 30, 2012 |
| Winona Pm Co-Investor, LLCno longer reported | Other Private Fund | $598,000 | 4 | Mar 30, 2012 |
| Krk Capital I Limited Partnershipno longer reported | Private Equity Fund | $111,972 | 17 | Mar 30, 2012 |
| Winona Circa Co-Investor, LLCno longer reported | Private Equity Fund | $0 | 6 | Mar 31, 2014 |
Owners and control persons
Schedule A and B, latest filing
- Laird Martin Koldyke · Founder & Managing Director; Membercontrolsince 08/2006 · owns 50% to 75%
- Everett Lucius Reese · Founder & Managing Directorcontrolsince 08/2006 · owns less than 5%
- Ferris Jason Sowers · Chief Compliance Officer, Chief Financial Officer, Directorcontrolsince 07/2023 · owns less than 5%
- Jordan Daniel Kipp · Membercontrolsince 09/2011 · owns 25% to 50% of Wcm Incentive, LLC
- Laird Martin Koldyke · Membercontrolsince 09/2011 · owns 25% to 50% of Wcm Incentive, LLC
- Everett Lucius Reese · Membercontrolsince 09/2011 · owns 25% to 50% of Wcm Incentive, LLC
- Jean Barbara Kelly · Trustee Of Lucius E. Reese Grantor Trustsince 02/2017 · owns 50% to 75%
Entity owners
- Laird Norton Company · Memberindirect · owns 50% to 75% of Lnc Investment Co., LLC
- Lnc Investment Co., LLC · Profit Participation Interestdirect · owns 25% to 50%
- Lucius E. Reese Grantor Trust · Memberdirect · owns 50% to 75%
- Wcm Incentive, LLC · Profit Participation Interestdirect · owns 50% to 75%
Related persons
Schedule D 7.A
- Wcm Extension Manager, LLCpooled vehicle sponsorn
- Wcm Gp II, LLCpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 6 to 7Jun 2, 2025 to Mar 30, 2026
- Charity clients · 0.0 to unsetJun 2, 2025 to Mar 30, 2026
- Corporate clients · 0.0 to unsetJun 2, 2025 to Mar 30, 2026
- HNW clients · 0.0 to unsetJun 2, 2025 to Mar 30, 2026
- Individual clients · 0.0 to unsetJun 2, 2025 to Mar 30, 2026
- Pension plan clients · 0.0 to unsetJun 2, 2025 to Mar 30, 2026
- Pooled vehicle clients · 6 to 7Jun 2, 2025 to Mar 30, 2026
- Assets in custody · $32.5M to $30.6MJun 2, 2025 to Mar 30, 2026
- Private funds · 6 to 7Jun 2, 2025 to Mar 30, 2026
- Discretionary RAUM · $255M to $256MJun 2, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $255M to $256MJun 2, 2025 to Mar 30, 2026
- RAUM · $255M to $256MJun 2, 2025 to Mar 30, 2026
- Financial planning clients · unset to Mar 31, 2025 to Jun 2, 2025
- Advisory employees · 5 to 4May 29, 2024 to Mar 31, 2025
- Assets in custody · $46.9M to $32.5MMay 29, 2024 to Mar 31, 2025
- Employees · 7 to 6May 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $267M to $255MMay 29, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $267M to $255MMay 29, 2024 to Mar 31, 2025
- RAUM · $267M to $255MMay 29, 2024 to Mar 31, 2025
- Advisory employees · 6 to 5Jul 26, 2023 to Mar 28, 2024
- Assets in custody · $68.3M to $46.9MJul 26, 2023 to Mar 28, 2024
- Employees · 8 to 7Jul 26, 2023 to Mar 28, 2024
- Discretionary RAUM · $307M to $267MJul 26, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $307M to $267MJul 26, 2023 to Mar 28, 2024
- RAUM · $307M to $267MJul 26, 2023 to Mar 28, 2024
- Advisory employees · 5 to 6Mar 30, 2022 to Mar 31, 2023
- Assets in custody · $16.1M to $68.3MMar 30, 2022 to Mar 31, 2023
- Employees · 9 to 8Mar 30, 2022 to Mar 31, 2023
- Discretionary RAUM · $255M to $307MMar 30, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $255M to $307MMar 30, 2022 to Mar 31, 2023
- RAUM · $255M to $307MMar 30, 2022 to Mar 31, 2023
- Advisory employees · 7 to 5Dec 16, 2021 to Mar 30, 2022
- Assets in custody · $13.6M to $16.1MDec 16, 2021 to Mar 30, 2022
- Employees · 10 to 9Dec 16, 2021 to Mar 30, 2022
- Discretionary RAUM · $238M to $255MDec 16, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $238M to $255MDec 16, 2021 to Mar 30, 2022
- RAUM · $238M to $255MDec 16, 2021 to Mar 30, 2022
- Accounts · 4 to 6Mar 30, 2020 to Mar 30, 2021
- Advisory employees · 12 to 7Mar 30, 2020 to Mar 30, 2021
- Pooled vehicle clients · 4 to 6Mar 30, 2020 to Mar 30, 2021
Signals
7 dated events
- Ferris Jason Sowers (Chief Compliance Officer, Director) appeared on Schedule A of Winona Capital Management, LlcJul 26, 2023 · Control person joined · fact
- Michael Jack Yates (Chief Compliance Officer, Chief Financial Officer) no longer on Schedule A of Winona Capital Management, Llc (listed 2023-03-31, absent 2023-07-26)Jul 26, 2023 · Control person left · inference
- Jordan Daniel Kipp (Member) appeared on Schedule A of Winona Capital Management, LlcMar 31, 2023 · Control person joined · fact
- Michael Jack Yates (Chief Compliance Officer, Chief Financial Officer) appeared on Schedule A of Winona Capital Management, LlcMar 30, 2020 · Control person joined · fact
- Nmn Sandeep Dhuper (Chief Financial Officer/Chief Compliance Officer) no longer on Schedule A of Winona Capital Management, Llc (listed 2019-11-19, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- Leslie John Mcblain (Chief Compliance Officer / Director Of Finance) no longer on Schedule A of Winona Capital Management, Llc (listed 2019-03-25, absent 2019-11-19)Nov 19, 2019 · Control person left · inference
- Winona Capital Management filed its initial SEC registration (Form ADV)May 15, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- Winona Capital Management, LLC · Independent Sponsorsshared crd · capital_provider
- Winona Capital Management, LLC · Private Equityshared crd · organization
- Winona Capital Management, LLC · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/winona-capital-managementreportedpublic record, Form ADV, Sep 17, 2026
- Website
- winonacapital.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 312-334-8800reportedpublic record, Form ADV, Jun 18, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026