WINDFALL ADVISORS, LLC

RIASEC Registered
Total AUM
$40M
Discretionary
$40M
100% of AUM
Avg account
$1M
Accounts
40
Employees
2
Advisory reps
1

Firm details

Headquarters
NEWPORT BEACH, California
CRD number
309261
Website
www.windfalladvisors.com
Custodians
CHARLES SCHWAB & CO., INC.
Fee structure
Percentage of AUM, Hourly Charges, Fixed Fees
Client types
  • HNWI96%
  • Individuals4%
Services
Financial PlanningPortfolio Management for IndividualsPension Consulting

Firm profile

FINTRX

Overview

Windfall Advisors, LLC is an independent registered investment adviser organized as an LLC that primarily serves individual and family clients. The firm offers financial planning, portfolio management for individuals and small businesses, and pension consulting services. Its billing mixes percentage-of-assets, hourly charges, and fixed fees. Windfall is not positioned as a capital allocator, does not report active ESG investing, and does not operate as a multi-state or newly formed adviser.

Assets & Accounts

Public Holdings

Investments & Alternatives

Read the full firm profile in FINTRX →

Investment profile

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Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

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CRM & tech providers

TAMPs used

Clients

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Client base

Client personas

Asset composition

Asset composition: Exchange Traded Equities 55%, Public Funds/Mutual Funds 15%, Non-Exchange Traded Equities 10%, US Government Bonds 5%, State & Local Bonds 5%, Investment Grade Corp Bonds 5%, Cash & Cash Equivalents 5%55%
  • Exchange Traded Equities55%
  • Public Funds/Mutual Funds15%
  • Non-Exchange Traded Equities10%
  • US Government Bonds5%
  • State & Local Bonds5%

Contacts

1 of 1

  • DANIEL JOHNSON

    FounderCRD 5819978

Wealth teams

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Newly hired reps

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Recent M&A activity

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Recent filings

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Awards

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Location

Primary office

NEWPORT BEACH, CA

ORANGE

Location

NEWPORT BEACH, CA

Headquartered in NEWPORT BEACH, CA, anchoring the Los Angeles-Long Beach, CA metro in the West.

Metro area
Los Angeles-Long Beach, CA
Region
West
County
ORANGE
Address
620 Newport Center Dr
Time zone
PT (UTC-8)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth