Windfall Advisors, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Windfall Advisors LLC provides discretionary portfolio management and comprehensive financial planning primarily for individuals and high-net-worth clients, and also advises corporate retirement plans. The firm manages roughly $70 million for a small client base and maintains a stated account minimum of $1 million.
The advisor documents client goals and risk tolerances in Investment Policy Statements and conducts monthly reviews while delivering custodial account statements and quarterly reports. Its investment process combines charting, cyclical, fundamental, quantitative and technical analysis and employs long‑term positions, options strategies and a range of vehicles including mutual funds, ETFs, real estate funds and venture/alternative funds.
Notably, Windfall offers corporate retirement plan consulting with an explicit fiduciary focus on plan design, compliance, investment selection, ongoing monitoring and participant education—services that are less common among solo independent RIAs. Operational features that differentiate the firm include a required custodial relationship with a single institutional custodian and a policy of not aggregating trades across client accounts, which can affect execution and implementation compared with some peers.
Client services
Expertise
Fee options
$4,750 for Full Comprehensive Financial Plan (non-investment management clients)
$1,000,001 - $10,000,000: 0.25% quarterly fee $10,000,001 - $50,000,000: 0.20% quarterly fee $50,000,001+: 0.15% quarterly fee
$499 per hour for Financial Consultation and Coaching (non-investment management clients)
Account minimum: $1,000,000
Main office
100 Wilshire Blvd, Suite 700
Santa Monica CA 90401
Advisors at this office
1
Most active in
California · New York
Also doing business as
Bestria LLC · Windfall Advisors, 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
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