SourcingSourcing

WINDROSE ADVISORS LLC

C27
CRD 152145·SEC 801-70859·WALTHAM, MA
AUM
$2.67B
$1B+
Est. Revenue
$26.7M
@ 1% on AUM
Est. EBITDA
$8.0M
@ 30% margin
Est. Deal Value
$64.1M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
WINDROSE ADVISORS LLC
CRD
152145
SEC file #
801-70859
EIN
—
DBA names
—

Economics

AUM
$2.67B
AUM band
$1B+
AUM trajectory
'20'26
$1.63B → $2.67B▲ +64%
Client mix
Pooled Investment Vehicles71
Individuals High Net Worth70
Charitable Organizations12

Operations

Employees (total)
23
Advisory staff (per ADV)
8
Advisory staff (5-yr trend)
'20'26
16 advisors → 8 advisors▼ -50%
Primary office
WALTHAM MA
Branches
—

Custodian & Brokerage

Primary custodian
BNY Mellonlow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — pooled vehiclesPortfolio mgmt — businesses
Fee basis
% of AUMPerformance-based fees

Filings

Latest ADV filing
03/31/2026
ADV-W filed at
—
Website
linkedin.com/company/windrose-advisors(social)

Compliance

Disclosures (firm)
1
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
DF CAPITAL II LLC
Top Owner Pct
37.5
Top Owner Entity Kind
DE
Owner Count
8
Control Persons
DF CAPITAL II LLC
PHYLLIS FIREMAN REEBOK GRAT FBO
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
fallback_guess:windrose.com

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
Yes
Form 5500 Plan Count
1
Form 5500 Total Participants
31
Form 5500 Compensation Trajectory 3y
20240
Form 5500 Plan Count Trajectory 3y
20241
Schedule C Service Provider Rows
1

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (8)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
7
Bc Firm IAR Count
7
Custodian Candidates
Full
Bny Mellon134
E*trade4
Firm Has Custody
Yes
Mailing Office Differs
No
Trust Company Affiliate
No

People (7)

7
HEITIN, WILLIAM, A
IAR · Direct Owner · 7.5%
5736775
POLAY, KENNETH, ROBERT
IAR · Executive Officer · 2.5%
5059254
POMERANTZ, PAUL, SCOTT
IAR · Executive Officer · 2.5%
5751736
QUINQUIS, GILDAS
IAR · Executive Officer · 2.5%
6468455
MUTCH, PAUL, KENNETH
IAR · Executive Officer · 2.5%
2822345
Reilly Thomas Dahlquist
IAR
8030104
Adam Robert Ladd
IAR
8187380