Winters Financial Group, Inc.
● SEC registered since 2021CRD 309549SEC# 801-121556Westlake Village, CA
Reg. AUM
$252.3M
Employees
3
Accounts
634
Location
Westlake Village, CA
Winters Financial Group, Inc. assets under management
Winters Financial Group, Inc. is an investment advisory firm registered with the SEC based in Westlake Village, CA. The firm has been registered since 2021. It reports $252.3 million in regulatory assets under management and employs 3 people.
Winters Financial Group, Inc. owners & executives
2 reported| Name | Title | Ownership | Since |
|---|---|---|---|
| Janice Elizabeth Winters | Owner | 10-25% | 1999 |
| Richard Kevin Winters Control | Owner And Chief Compliance Officer | Over 75% | 1999 |
Frequently asked questions
How much does Winters Financial Group, Inc. manage?
Winters Financial Group, Inc. reports $252.3 million in regulatory assets under management on its Form ADV.
How many employees does Winters Financial Group, Inc. have?
Winters Financial Group, Inc. reports 3 employees.
Where is Winters Financial Group, Inc. located?
Winters Financial Group, Inc. is based in Westlake Village, CA and has been SEC-registered since 2021.
Does Winters Financial Group, Inc. disclose fund performance?
Winters Financial Group, Inc. is not required to publicly disclose fund returns. Form ADV filings include assets, ownership, and service providers, shown above.
Contact & registration
| Address | 2659 Townsgate Rd., #213, Westlake Village, CA 91361 |
| Phone | 805-497-1717 |
| Fax | 805-497-7016 |
| Office hours | 9:00a.m. To 5:00p.m. |
| SEC region | Los Angeles Regional Office (LARO) |
| Discloses disciplinary history | No |
Regulatory AUM
$252.3M▲ 25%
Mar '25Form ADV, monthlyJun '26
How this firm compares
Regulatory AUMTop 68%
Larger than 32% of 16,271 advisers
EmployeesTop 77%
More than 23% of 16,825 advisers
Assets under management
$252.3Mregulatory AUM
Discretionary $0Non-discretionary $252.3M