WIN Private Wealth
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$2,983,078
Clients
14
0% high-net worth
Advisors
1
of 2 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
14
LowAverage account size
$213,077
About
WIN Private Wealth is a fee-only registered investment adviser that provides investment management and financial planning to individuals, high net-worth individuals, charitable organizations, and corporations. The firm manages discretionary portfolios and delivers financial plans through both ongoing advisor relationships and project-based engagements, operating with a small client base and roughly $3 million in assets under management.
The firm’s investment process emphasizes asset allocation and a blend of passive and active strategies, drawing on fundamental, technical, cyclical, and charting analyses within a modern portfolio theory framework. It typically exercises limited discretionary trading authority while allowing clients to impose written restrictions, and it recommends institutional custodians for execution and custody.
Notably, WIN Private Wealth offers paid educational seminars and speaking engagements as part of its service mix, an offering that is uncommon among peers. The firm also integrates ongoing financial planning with investment management at no additional cost, operates with no stated account minimum, and is led by a founder with prior experience as a registered representative and insurance agent who also runs a nonprofit organization.
Client services
Financial planning
Portfolio management
Educational seminars or workshops
Expertise
Business ownership considerations
Cash flow / budgeting
College savings (529s, UTMA, etc.)
General estate planning guidance
Fee options
Fixed fees for project-based financial planning ($6,000 to $10,000) and initial financial plan construction ($500 to $2,500)
$0 - $3,000,000: 1.00% $3,000,001 - $5,000,000: 0.85% $5,000,001+: 0.70%
$750 per hour for project-based financial planning
Ongoing financial planning fixed fee ranging from $6,000 to $30,000 annually, paid monthly or quarterly in advance
Fee-only: Fee-only firm, no commissions or sales-related compensation
Main office location
WIN Private Wealth
Elk Grove CA, United States
Number of offices
1
Most active in
WIN Private Wealth has reported serving >5 clients in these states in the last 12 months.
California · Texas
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
-
Insurance agent
They sell insurance products and may earn commissions on those sales.
-
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
-
Bank
They're affiliated with a bank that may offer its own financial products and services.
-
Trust company
They provide trust and estate administration services, typically for separate fees.
-
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
-
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
-
Lawyer
They provide legal services, typically billed separately.
-
Real estate agent
They facilitate real estate transactions and may earn commissions.
-
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
Quick links
Not sure where to start?
We'll help you think it through – whether you ultimately need an advisor or not.
Warmer provides personalized recommendations and introductions to independent fiduciary advisors. We do not supervise advisors, manage or hold assets, guarantee performance, or provide advice about specific investments.
Each advisor listed on our site is an independent fiduciary responsible for their own advice. Warmer may receive fees from advisors for participation or referrals; these fees are paid by advisors and do not affect the fees clients pay for advisory services.
For advisor listings, we rely on sources including public filings and data provided by advisors, and we cannot guarantee that all information is current or accurate. Please review an advisor's Form ADV and do your own diligence before entering into an advisory relationship.
By using our service, you agree to Warmer's Terms of Service and Advisory Agreement and Privacy Policy. Logos provided by Logo.dev
© 2026 Warmer Holdings Inc. ("Warmer")