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Wind & Rose, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$13,181,048
This total excludes 1 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Total clients
6
0% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
6
Average account size
$2,196,841
About
Wind & Rose provides wealth management, financial planning, and portfolio management to individuals as well as a range of institutional clients such as banks, pension and profit-sharing plans, trusts, estates, charitable organizations, and corporations. The firm also serves as the general partner and investment adviser to a privately offered pooled investment vehicle (RSAC Portfolio Fund, LP), and may recommend that clients consider investing in that fund.
The firm tailors portfolios to clients’ goals, risk tolerances, and liquidity needs and offers both discretionary and non‑discretionary management, with ongoing monitoring and periodic rebalancing. Investment strategies span public equities, ETFs and fixed income and may include private investments and alternative exposures; the firm describes the fund strategy as taking a broad, global perspective with elements of global macro and fund‑of‑fund approaches and the ability to use sub‑managers and other pooled vehicles.
What distinguishes Wind & Rose from many independent, solo advisers is its role as a private fund manager and its use of performance‑based compensation for qualified investors, along with management of pooled and institutional accounts — arrangements the brochure discloses can create side‑by‑side and conflict‑of‑interest considerations. The firm also discloses affiliated insurance brokerage activity and the possibility that associated persons may invest alongside clients or participate in pooled vehicles, factors prospective clients should review in the firm’s full disclosures.
Client services
Financial planning
Portfolio management
Fee options
$0+: Generally 2.0% of assets under management, up to 2.75% +:
$200 per hour, subject to negotiation for wealth management strategy
10% performance allocation on profits for qualified limited partners in RSAC Portfolio Fund, LP
Account minimum: $500,000
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:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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