Windsor Securities, Inc. (Ardmore)

Name: Windsor Securities, Inc.
Address: 25 East Athens Avenue, Ardmore, PA, 19003
Telephone: 610-642-3100

Windsor Securities, Inc. is a large advisory firm based in Ardmore. It manages $90.71 million of regulatory assets for 119 client accounts. It has been registered with the SEC as an adviser since 2005 and has operated in the jurisdictions of Indiana and Pennsylvania.

Windsor Securities provides portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, and market timing services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Windsor Securities: assets under management

The assets under management (AUM) of Windsor Securities, Inc. is $90.71 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 159% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $90.71 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $762.27 thousand each.

Investments

The firm invests in cash and cash equivalents the most. They account for 85% of the total AUM. The second-largest asset type is exchange traded securities, which make up 15% of the firm’s portfolio.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Windsor Securities, Inc. for their services and products based on a percentage of assets under management and performance-based fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Windsor Securities serves?

The firm provides services to high net worth individuals and pooled investment vehicles. The largest group of clients of Windsor Securities is high net worth individuals with 118 clients and $75.21 million of assets under management. Among the 9 most similar advisory firms, Windsor Securities has the 3rd highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $90.71 million for 119 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Windsor Securities doesn't advise any private funds.

Careers at Windsor Securities, Inc.

The company employs 1 person that is either a part- or full-time employee. 100 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Paul Maury Prusky	President, ceo	1 Apr 1972	75% - 100%	368498
Steven George Prusky	Vice president	1 Sep 1989	Other	2655805
Steven George Prusky	President, chief compliance officer	1 Dec 2002	75% - 100%	2655805
Paul Maury Prusky	Non-executive chairman, cfo (finop)	1 Dec 2004	Other	368498

Based in Ardmore

The principal office where Windsor Securities, Inc. performs its advisory services is located at 25 East Athens Avenue, Ardmore, PA 19003, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 610-642-3100 or by fax 610-642-9709. The normal business hours are 9:00 am - 5:00 pm on Monday - Friday. You can find more information about the New York firm at windsorsecurities.com.