Windfall Advisors, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$40,000,000
Clients
40
85% 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
40
HighAverage account size
$1,000,000
About
Windfall Advisors provides advisory services to individual and high‑net‑worth clients and sponsors corporate retirement plans, offering ongoing portfolio management, individualized investment policy statements, and comprehensive financial planning and consultation. The firm tailors portfolios and planning to clients’ goals, risk tolerance and time horizons and conducts regular portfolio monitoring.
Its investment process draws on a broad set of analytical methods — including charting, cyclical, fundamental, quantitative and technical analysis — and combines long‑term strategies with option strategies (including covered and uncovered positions). Windfall invests across multiple asset classes (equities, fixed income, ETFs, real estate funds, commodities, non‑U.S. securities and venture capital funds) and generally manages accounts with discretionary authority.
Noteworthy differences from many peers include the firm’s requirement that client accounts be maintained at a single institutional custodian and a stated policy not to aggregate block trades, practices that can affect execution and pricing dynamics. The firm also integrates comprehensive planning with its managed accounts, provides corporate retirement plan services, is owned by an RIA holding entity, and assigns a designated reviewer for monthly account oversight.
Client services
Financial planning
Portfolio management
Pension consulting
Corporate retirement plan
Expertise
Retirement plans for business owners (SEP, solo 401k)
Options & derivatives strategies
Wealth management
Fee options
$4,750 for Full Comprehensive Financial Plan (non-investment management clients)
$1,000,001 - $10,000,000: 0.25% quarterly $10,000,001 - $50,000,000: 0.20% quarterly $50,000,001+: 0.15% quarterly
$499 per hour for Financial Consultation and Coaching (non-investment management clients)
Account minimum: $1,000,000
Main office location
Windfall Advisors, LLC
620 Newport Center Dr., Suite 1100
Newport Beach CA 92660, United States
Number of offices
3
Most active in
Windfall Advisors, LLC has reported serving >5 clients in these states in the last 12 months.
California · New York
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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