WIN Private Wealth
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
WIN Private Wealth is a fee-only registered investment adviser that provides investment management and financial planning to individuals, high net-worth individuals, charitable organizations, and corporations. The firm manages discretionary portfolios and delivers financial plans through both ongoing advisor relationships and project-based engagements, operating with a small client base and roughly $3 million in assets under management.
The firm’s investment process emphasizes asset allocation and a blend of passive and active strategies, drawing on fundamental, technical, cyclical, and charting analyses within a modern portfolio theory framework. It typically exercises limited discretionary trading authority while allowing clients to impose written restrictions, and it recommends institutional custodians for execution and custody.
Notably, WIN Private Wealth offers paid educational seminars and speaking engagements as part of its service mix, an offering that is uncommon among peers. The firm also integrates ongoing financial planning with investment management at no additional cost, operates with no stated account minimum, and is led by a founder with prior experience as a registered representative and insurance agent who also runs a nonprofit organization.
Client services
Expertise
Fee options
Fixed fees for project-based financial planning ($6,000 to $10,000) and initial financial plan construction ($500 to $2,500)
$0 - $3,000,000: 1.00% $3,000,001 - $5,000,000: 0.85% $5,000,001+: 0.70%
$750 per hour for project-based financial planning
Ongoing financial planning fixed fee ranging from $6,000 to $30,000 annually, paid monthly or quarterly in advance
Fee-only: Fee-only firm, no commissions or sales-related compensation
Main office
Elk Grove CA
Advisors at this office
1
Most active in
California · Louisiana · Texas
Also doing business as
Win Private Wealth · Win Private Wealth, LLC
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
Quick links
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