Windsor Creek Advisors, LLC (Bethel)

Windsor Creek Advisors, LLC is a large advisory firm based in Bethel. It manages $203.9 million of regulatory assets for 9 client accounts. It has been registered with the SEC as an adviser since 2018 and has operated in the jurisdiction of Vermont.

Windsor Creek Advisors provides portfolio management for individuals and small businesses. 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 Creek Advisors: assets under management

The assets under management (AUM) of Windsor Creek Advisors, LLC is $203.9 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -4% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $203.9 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $22.66 million each.

Investments

The firm invests in exchange traded securities the most. They account for 84% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 13% of the firm’s portfolio. Investments in investment and business development companies form 2% of the total invested assets.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Windsor Creek Advisors, LLC for their services and products based on fixed fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Windsor Creek Advisors serves?

The only and largest group of clients of Windsor Creek Advisors is high net worth individuals with 1 clients and $203.9 million of assets under management. Among the 9 most similar advisory firms, Windsor Creek Advisors has the highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $203.9 million for 1 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 Creek Advisors doesn't advise any private funds.

Careers at Windsor Creek Advisors, LLC

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. Only one employee is registered as an investment adviser representative 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
Adam Brian Sappern	Managing member/chief compliance officer/chief investment officer	1 Apr 2018	75% - 100%	1754702

Based in Bethel

The principal office where Windsor Creek Advisors, LLC performs its advisory services is located at 1097 Lilliesville Brook Road, Bethel, VT 05032, 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 802-234-6655. The normal business hours are 9am - 5pm on Monday - Friday.