SourcingSourcing

WINDWARD WEALTH STRATEGIES, INC.

B57
CRD 175126·SEC 801-81031·OSHKOSH, WI
AUM
$251.2M
$100M-$500M
Est. Revenue
$2.5M
@ 1% on AUM
Est. EBITDA
$754K
@ 30% margin
Est. Deal Value
$6.0M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
WINDWARD WEALTH STRATEGIES, INC.
CRD
175126
SEC file #
801-81031
EIN
—
DBA names
—

Economics

AUM
$251.2M
AUM band
$100M-$500M
AUM trajectory
'20'26
$157.3M → $251.2M▲ +60%
Client mix
Individuals Other294
Individuals High Net Worth100
Pension Profit Sharing Plans3

Operations

Employees (total)
3
Advisory staff (per ADV)
2
Advisory staff (5-yr trend)
'20'26
3 advisors → 2 advisors▼ -33%
Primary office
OSHKOSH WI
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — businessesPension consulting
Fee basis
% of AUMHourly chargesFixed fees

Filings

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
PIERCE, GREGORY, BRYAN
Top Owner Pct
62.5
Top Owner Entity Kind
I
Owner Count
2
Control Persons
PIERCE, GREGORY, BRYAN
MOLITOR, KIM, M
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
social_url_excluded:facebook.com

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book
No
Form 5500 Plan Count
1
Form 5500 Total Compensation
37,189
Form 5500 Compensation Trajectory 3y
202537,189
Form 5500 Plan Count Trajectory 3y
20251
Schedule C Total Compensation
37,189
Schedule C Service Provider Rows
1

SEC EDGAR

Edgar Registered
No

Local market & wealth

Rank targets by how wealthy the local market is

Soi High Wealth Score
0.3093
Soi Zip Pct 200k Plus
0.0754
Soi Zip Returns 200k Plus
880
Soi Zip Total AGI
1,102,761
Fdic Zip Total Deposits
7,006,025,000
Fdic Zip Branch Count
148
Fdic Zip Top Banks
Choice bank
Nicolet National Bank

Compliance & brand

Firm Registration Status
active

All other collected signals (19)

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
2
Bc Firm IAR Count
2
Custodian Candidates
Full
Charles Schwab6
Fidelity4
E*trade4
Fdic Zip Branches Raw
M&I Bank of OshkoshOshkosh, WI
F & M Bank - Winnebago CountyOshkosh, WI
Fdic Zip HHI
1334.3
Fdic Zip Top Bank Share Pct
24.1
Fdic Zip Year
2025
Firm Has Custody
No
Mailing Office Differs
No
Soi Year
2022
Soi Zip Distribution
Stub 1
AGI31,224
Returns2,560
Stub 2
AGI88,122
Returns2,360
Stub 3
AGI111,836
Returns1,810
Soi Zip Total Business Income
25,711
Soi Zip Total Cap Gains
45,746
Soi Zip Total Dividends
23,810
Soi Zip Total Returns
11,670
Top Owner CRD
2322976
Trust Company Affiliate
No

People (2)

2
PIERCE, GREGORY, BRYAN
IAR · Direct Owner · 62.5%
2322976
MOLITOR, KIM, M
IAR · Direct Owner · 37.5%
5791376