WINDROSE ADVISORS LLC
Latest filing: Mar 26, 2025 (91 days ago)
AUM
$2,487,640,162
-1% change vs. 1 year ago
1% change vs. 3 years ago
39% change vs. 5 years ago
66% change vs. 10 years ago
Employee Count
24
4% change vs. 1 year ago
33% change vs. 3 years ago
41% change vs. 5 years ago
33% change vs. 10 years ago
Main Office
WALTHAM, MA
WATERMILL CENTER, WALTHAM, MA, UNITED STATES, 02453
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $0.9 |
| Non-Discretionary | $1.6 |
| Total | $2.5 |
| Client | AUM |
|---|---|
| Retail | $1.0 |
| Pooled | $1.3 |
| Institutional | $0.2 |
| Total | $2.5 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 0 | $0.0 |
| Average Individual AUM | $0 | |
| HNW | 65 | $1.0 |
| Average HNW AUM | $15,680,975 | |
| Retail Total | 65 | $1.0 |
| Average Retail AUM | $15,680,975 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
SMA Custodians
| Custodian | Location | AUM |
|---|---|---|
| BNY MELLON CAPITAL MARKETS, LLC | BOSTON-MA-USA | $2.1 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $1.2 |
| Retail SMA AUM | $1.0 |
| Institutional SMA AUM | $0.2 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 17% | $0.2 |
| Equity Non-Exch | 30% | $0.4 |
| Govt Agency | 0% | $0.0 |
| Municipal | 16% | $0.2 |
| Sovereign | 0% | $0.0 |
| IG Credit | 1% | $0.0 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 11% | $0.1 |
| Other Pools | 26% | $0.3 |
| Cash | 0% | $0.0 |
| Other | 0% | $0.0 |
| Total | 101% | $1.2 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
Affiliates
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| PAUL S. POMERANTZ | $0.0 | accountancy | - |
| FIREMAN CAPITAL PARTNERS LLC | $0.0 | 162290 | |
| WA MM LLC | $0.0 | - | |
| KENNETH R. POLAY | $0.0 | accountancy | - |
| WILLIAM A. HEITIN | $0.0 | accountancy | - |
| DFCA CONSUMER GROWTH LLC | $0.0 | 313396 |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Control Persons
12 active
| Name | Title |
|---|---|
| HEITIN, WILLIAM, A | PARTNER AND PRESIDENT |
| POMERANTZ, PAUL, SCOTT | CONTROLLER AND CHIEF COMPLIANCE OFFICER |
| QUINQUIS, GILDAS | PARTNER AND CHIEF INVESTMENT OFFICER |
| FIREMAN, DANIEL, MAX | OWNER, OWNER, OWNER |
| POLAY, KENNETH, ROBERT | PARTNER AND CHIEF EXECUTIVE OFFICER |
| MUTCH, PAUL, KENNETH | MANAGING DIRECTOR |
ADVDB.CO • SOURCE: SEC
Representatives
5 active representatives found
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| KENNETH POLAY | WALTHAM | MA | CERTIFIED FINANCIAL PLANNER | ||||||
| PAUL MUTCH | WALTHAM | MA | S63|1996-11-29|S65|1999-07-01 | CHARTERED FINANCIAL CONSULTANT | |||||
| GILDAS QUINQUIS | WALTHAM | MA | CHARTERED FINANCIAL ANALYST | ||||||
| WILLIAM HEITIN | WALTHAM | MA | S65|2010-10-21 | ||||||
| PAUL POMERANTZ | WALTHAM | MA | S65|2010-05-20 | ||||||
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-05-02 | $2.5 | $0.0 | 0% | 24 | 0 | 0% |
| 2025-04-21 | $2.5 | $0.0 | 0% | 24 | 0 | 0% |
| 2024-04-02 | $2.5 | $0.0 | -1% | 23 | 1 | 4% |
| 2023-04-04 | $2.4 | $0.1 | 5% | 20 | 4 | 20% |
| 2022-04-01 | $2.5 | $0.0 | 1% | 18 | 6 | 33% |
| 2021-04-05 | $2.2 | $0.3 | 14% | 18 | 6 | 33% |
| 2020-04-01 | $1.8 | $0.7 | 39% | 17 | 7 | 41% |
| 2019-04-01 | $1.6 | $0.9 | 53% | 16 | 8 | 50% |
| 2018-04-02 | $1.7 | $0.8 | 47% | 20 | 4 | 20% |
| 2017-04-01 | $1.5 | $1.0 | 64% | 14 | 10 | 71% |
| 2016-04-01 | $1.4 | $1.1 | 76% | 18 | 6 | 33% |
| 2015-04-01 | $1.5 | $1.0 | 66% | 18 | 6 | 33% |
| 2014-04-01 | $1.5 | $1.0 | 63% | 17 | 7 | 41% |
| 2013-04-01 | $1.3 | $1.2 | 93% | 15 | 9 | 60% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| MA, CA-11/01/2022, FL-03/27/2019, IL-08/25/2022, MA-12/18/2009, NY-03/26/2025, TX-03/26/2025 |
| ADVISER ACTIVITIES |
|
FINANCIAL PLANNING PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (POOLS) PORTFOLIO MANAGEMENT (SMB) MANAGER SELECTION |
| OTHER ACTIVITIES |
ADVDB.CO • SOURCE: SEC FORM ADV