# Open Window Financial Solutions, Ltd.

> Open Window Financial Solutions, Ltd. is an SEC-registered investment advisory firm in Reno, NV, registered since 2018, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 17, 2026.

- CRD: 131562
- Filed as: OPEN WINDOW FINANCIAL SOLUTIONS, LTD.
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Reno, NV
- Filing period: October 2026
- Form ADV filing dated: March 17, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/131562
- AdvisorCensus page: https://advisorcensus.com/firm/open-window-financial-solutions-ltd-reno-nv-131562

## Quick answers

**How is Open Window Financial Solutions, Ltd. compensated?**
On its Form ADV (Item 5.E, October 2026), Open Window Financial Solutions, Ltd. reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees).

**Where is Open Window Financial Solutions, Ltd. located?**
Open Window Financial Solutions, Ltd.'s principal office is in Reno, NV, according to its Form ADV.

**Is Open Window Financial Solutions, Ltd. registered with the SEC or a state?**
Open Window Financial Solutions, Ltd. is an SEC-registered investment advisory firm, registered since 2018. Status as filed: Approved. CRD 131562.

**How much does Open Window Financial Solutions, Ltd. manage?**
Open Window Financial Solutions, Ltd. reports $284,403,489 in regulatory assets under management in its Form ADV filing dated March 17, 2026 (100% discretionary).

**How have Open Window Financial Solutions, Ltd.'s assets and staff changed since 2021?**
In the Form ADV data for Open Window Financial Solutions, Ltd.: Regulatory assets under management: $143,760,163 in the October 2021 data and $284,403,489 in the October 2026 data, up 98%. Total employees: 4 in October 2021 and 6 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Open Window Financial Solutions, Ltd. serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (65); individuals (other than high net worth individuals) (26); pension and profit sharing plans (but not the plan participants or government pension plans) (10).

**Which custodians does Open Window Financial Solutions, Ltd. use?**
Open Window Financial Solutions, Ltd.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists National Financial Services LLC as a custodian holding 10% or more of its separately managed account assets.

**Does Open Window Financial Solutions, Ltd. report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/131562

**What changed in Open Window Financial Solutions, Ltd.'s recent Form ADV filings?**
In the April 2026 filing data: Regulatory assets under management went from $245,790,589 to $284,403,489 (+16%).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

### Fees and minimums (Form ADV Part 2A brochure dated March 16, 2026)

- Minimum annual fee: $25,000

> The Registrant generally requires an annual minimum fee of $25,000 for investment advisory services.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- National Financial Services LLC

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $284,403,489
- Discretionary: $284,403,489
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 26 | $15,889,965 |
| High net worth individuals | 65 | $236,443,815 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 10 | $32,069,709 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services

### Firm details
- Registered since: 2018 (7 years)
- Employees: 6 total, 3 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CA, NV, TX
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- openwindow.com
- openwindowfs.com
- Facebook @openwindowadvice
- LinkedIn @open-window-financial-solutions-ltd
- X @openwindow_fs
- X @openwindowfs

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $143,760,163 | 4 | April 15, 2021 |
| October 2022 | $186,112,658 | 5 | March 21, 2022 |
| October 2023 | $184,473,975 | 5 | March 16, 2023 |
| October 2024 | $223,653,931 | 5 | September 5, 2024 |
| October 2025 | $245,790,589 | 6 | July 3, 2025 |
| October 2026 | $284,403,489 | 6 | March 17, 2026 |

Regulatory assets under management: $143,760,163 in the October 2021 data and $284,403,489 in the October 2026 data, up 98%.
Total employees: 4 in October 2021 and 6 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Regulatory assets under management went from $245,790,589 to $284,403,489 (+16%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Open Window Financial Solutions, Ltd. (CRD 131562): Form ADV filing data as of October 2026.