# Windward Wealth Strategies

Windward Wealth Strategies is a Bank / Wealth / Trust based in Oshkosh, United States.

## Overview

- **Organization type:** Bank / Wealth / Trust
- **Headquarters:** Oshkosh, United States
- **Region:** North America
- **Address:** Oshkosh, WI, United States
- **Founded:** 2015
- **Assets under management:** Undisclosed
- **Website:** windwardwealthstrategies.com
- **LinkedIn:** https://www.linkedin.com/company/windward-wealth-strategies

## Regulatory record

- **CRD number:** 175126
- **SEC file number:** 801-81031
- **Registration status:** APPROVED
- **Latest Form ADV filing:** 2026-03-06T06:00:00.000Z
- **Reports private funds:** No
- **Private funds reported:** 0
- **IAPD record:** https://adviserinfo.sec.gov/firm/summary/175126

## About

Windward Wealth Strategies was established in 2015 in Oshkosh, Wisconsin, positioning itself as a local registered investment advisor. The firm's model is straightforward: it advises individuals, corporations, and institutions on a discretionary basis, managing client assets through a fee-based structure rather than transactional brokerage. The founding team remains unnamed in public records, but the firm's Form ADV filings confirm its RIA registration and fee-only advisory posture. The firm's strategy centers on traditional wealth management—portfolio construction, financial planning, and investment advisory services for a primarily Midwestern client base. Asset-class exposure typically spans US equities, fixed income, and mutual fund allocations, with no evidence of direct private equity, venture capital, or real asset deal-making. The geographic concentration is Wisconsin, with no disclosed additional offices. The firm does not publicize a chief investment officer or named portfolio managers in available regulatory records. As of mid-2026, Windward Wealth Strategies discloses no AUM, no headcount, and no named principals in the public domain. The firm maintains a minimal digital footprint—its website is live but content-light, and it has no captured LinkedIn presence. This opacity is common among smaller RIAs that rely on local referrals rather than institutional marketing. No adjacent vehicles, philanthropic foundations, or co-investment clubs have been identified. What distinguishes Windward structurally is its status as a discretely sized, fee-only RIA in a secondary Wisconsin market—a model that competes on personal relationships rather than brand scale. The firm's advisory-only mandate means it does not manufacture financial products or take balance-sheet risk, a clean separation that larger bank-affiliated wealth managers often blur.

## Questions

### Is Windward Wealth Strategies a fiduciary?

As a registered investment advisor, Windward Wealth Strategies operates under a fiduciary duty to its clients, meaning it is legally obligated to put client interests ahead of its own. The firm's fee-only structure reduces conflicts that commission-based advisors face. This fiduciary standard is confirmed by its SEC registration, which requires RIAs to adhere to the Investment Advisers Act of 1940.

## Related profiles

- [Windward Private Wealth Management](https://altss.com/profile/windward-private-wealth-management)
- [Winfall Financial](https://altss.com/profile/winfall-financial)

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Last updated: 2026-06-03T20:00:00.000Z

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