Windsor Capital Management, LLC (Phoenix)

Name: Windsor Capital Management, LLC
Address: 20860 North Tatum Blvd., Phoenix, AZ, 85050
Telephone: 480-515-3514

Windsor Capital Management, LLC is a large advisory firm based in Phoenix. It manages $502.08 million of regulatory assets for 1,145 client accounts. It has been registered with the SEC as an adviser since 2008 and has operated in the jurisdictions of Arizona, California, Colorado, and 18 other states.

Windsor Capital Management provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, pension consulting services, and advisory consulting services. It prepares financial plans for less than 10 clients. On top of advisory services, the firm doesn't engage in other business activities.

Windsor Capital Management: assets under management

The assets under management (AUM) of Windsor Capital Management, LLC is $502.08 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 371% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $502.08 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $438.5 thousand each.

Investments

The firm invests in investment grade corporate bonds the most. They account for 47% of the total AUM. The second-largest asset type is exchange traded securities, which make up 40% of the firm’s portfolio. Investments in state and local bonds form 7% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Windsor Capital Management, LLC for their services and products based on a percentage of assets under management and hourly charges. Hourly charges are usually charged for consulting work and special projects. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Windsor Capital Management serves?

The firm provides services to individuals, charitable organizations, high net worth individuals, corporations or other businesses, and pension and profit sharing plans. The largest group of clients of Windsor Capital Management is high net worth individuals with 250 clients and $266.7 million of assets under management. Among the 11 most similar advisory firms, Windsor Capital Management has the 5th highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $502.08 million for 594 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Windsor Capital Management doesn't advise any private funds.

Careers at Windsor Capital Management, LLC

The company employs 7 people that are either part- or full-time employees. 86 percent of the employees work as investment advisers or researchers. 5 employees are registered as investment adviser representatives with the state securities authorities.

There’s a single person with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Darren Lane Whitehurst	Chief manager	1 Jan 2000	Other	2283364
Inc. Whitehurst Financial Services	Owner	1 Jan 2001	50% - 75%	86-0942253
Donald Edward Peppler	Chief compliance officer	1 Feb 2008	Other	2482674
Inc Peppler Capital Advisors	Owner	1 Sep 2009	25% - 50%	26-1576647

Indirect Owners

The SEC currently registers 2 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Darren Lane Whitehurst	President	1 Feb 1999	75% - 100%	2283364
Donald Edward Peppler	President	1 Jan 2008	75% - 100%	2482674

Based in Phoenix

The principal office where Windsor Capital Management, LLC performs its advisory services is located at 20860 North Tatum Blvd., Phoenix, AZ 85050, which is also the mailing address of the firm. An additional office of the firm is in Oak Brook, IL. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 480-515-3514 or by fax 602-357-7457. The normal business hours are 7:00 a.m. - 4:00 p.m. on Monday - Friday. You can find more information about the New York firm at windsoradvisor.com.