Open Window Financial Solutions

There is no public record of Open Window filing as a registered investment advisor with the SEC or the Nevada Securities Division. The firm does not appear in the IAPD database, which would list any RIA's Form ADV, disclosed AUM, and disciplinary history. This does not necessarily mean the firm operates improperly — many wealth managers function as insurance agents, broker-dealer representatives, or unregistered family-office structures that do not trigger ADV requirements.

No principals are publicly identified. Nevada business registry records list a registered agent, but that is a statutory role for service of process and does not confirm operational leadership. No LinkedIn profiles, industry directory entries, or local media coverage name the firm's founder or current management.

The firm identifies as a wealth manager, which typically implies financial planning, investment advisory, retirement planning, or insurance solutions. However, Open Window has not published a service menu, client brochure, or marketing material that would confirm its specific offering set, fee structure, or fiduciary status.

There is no public evidence of discretionary asset management. The firm could operate as a solicitor, refer clients to third-party managers, or function purely as a financial planner without direct custody. Without an ADV filing or client-facing disclosure, the custody and execution model remains unverified.

Direct contact is the only option. Request a copy of the firm's Form ADV Part 2A if they hold themselves out as an RIA, or a client relationship summary (Form CRS) if they operate under a broker-dealer. Absent these, ask for references, a statement of custody practices, and clarity on whether any principal holds a series license or CFP designation through FINRA BrokerCheck or the CFP Board.