AdvisorCensus / Financial advisors / California / Oxnard / Winters Financial Group, Inc.
Winters Financial Group, Inc. is an SEC-registered investment advisory firm in Westlake Village, CA, registered since 2021, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 21, 2026.
Quick answers
From the filingHow is Winters Financial Group, Inc. compensated?
On its Form ADV (Item 5.E, October 2026), Winters Financial Group, Inc. reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees).
How much does Winters Financial Group, Inc. charge?
Its Form ADV Part 2A brochure dated March 19, 2026 states: Asset-based fee: 0.5% to 2% a year (a range, as the brochure states it); Flat fee: $500 to $3,000 (financial planning and/or consulting services…); Hourly rate: $250 an hour (financial planning and/or consulting services…). Fees can differ by service and may be negotiable; the brochure is the complete statement.
Where is Winters Financial Group, Inc. located?
Winters Financial Group, Inc.'s principal office is in Westlake Village, CA, according to its Form ADV.
Is Winters Financial Group, Inc. registered with the SEC or a state?
Winters Financial Group, Inc. is an SEC-registered investment advisory firm, registered since 2021. Status as filed: Approved. CRD 309549.
How much does Winters Financial Group, Inc. manage?
Winters Financial Group, Inc. reports $252,299,559 in regulatory assets under management in its Form ADV filing dated March 21, 2026 (0% discretionary).
How have Winters Financial Group, Inc.'s assets and staff changed since 2021?
In the Form ADV data for Winters Financial Group, Inc.: Regulatory assets under management: $117,721,850 in the October 2021 data and $252,299,559 in the October 2026 data, up 114%. Total employees: 2 in October 2021 and 3 in October 2026. Assets under management move with markets as well as with clients coming and going.
What types of clients does Winters Financial Group, Inc. serve?
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (173); high net worth individuals (71); pension and profit sharing plans (but not the plan participants or government pension plans) (29).
Which custodians does Winters Financial Group, Inc. use?
Winters Financial Group, Inc.'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 Winters Financial Group, Inc. 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/309549
Does Winters Financial Group, Inc. state an account minimum?
Its Form ADV Part 2A brochure dated March 19, 2026 says: "The Registrant does not require a minimum asset value or impose a minimum annual fee requirement for investment advisory services."
What changed in Winters Financial Group, Inc.'s recent Form ADV filings?
In the April 2026 filing data: Regulatory assets under management went from $202,293,721 to $252,299,559 (+25%).
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Fees and minimums
Form ADV Part 2AAsset-based fee: 0.5% to 2% a year (a range, as the brochure states it)
The brochure's wording
The Registrant’s annual investment advisory fee is negotiable at its discretion, but typically ranges from 0.50% and 2.00% of the total assets placed under the Registrant’s management
Account minimum: None
The brochure's wording
The Registrant does not require a minimum asset value or impose a minimum annual fee requirement for investment advisory services.
Minimum annual fee: None
The brochure's wording
The Registrant does not require a minimum asset value or impose a minimum annual fee requirement for investment advisory services.
Flat fee: $500 to $3,000 (financial planning and/or consulting services…)
The brochure's wording
Registrant’s planning and consulting fees are negotiable, but generally range from $500 to $3,000 on a fixed fee basis, and $250 on an hourly rate basis, depending upon the level and scope of the service(s) required and the professional(s) rendering the service(s).
Hourly rate: $250 an hour (financial planning and/or consulting services…)
The brochure's wording
Registrant’s planning and consulting fees are negotiable, but generally range from $500 to $3,000 on a fixed fee basis, and $250 on an hourly rate basis, depending upon the level and scope of the service(s) required and the professional(s) rendering the service(s).
As stated in the firm's Form ADV Part 2A brochure dated March 19, 2026. Fees can differ by service and may be negotiable; the brochure is the complete statement. Read the brochure on the SEC's IAPD site
Regulatory assets under management
Item 5.F$252,299,559 as of October 2026, filing dated March 21, 2026.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services
- Selection of other advisers (including private fund managers)
Registration and firm details
Items 1, 2, 5- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 2021 (5 years)
- Employees
- Total: 3. Performing investment advisory functions: 2.
- Wrap fee program participation
- No.
- Custodians (Schedule D, Section 5.K(3))
-
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.
- States registered or notice-filed
-
5 states or jurisdictions
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Assets and staff over time
Items 5.A, 5.F| Data period | Assets under management | Employees | Filing dated |
|---|---|---|---|
| October 2026 | $252,299,559 | 3 | March 21, 2026 |
| October 2025 | $202,293,721 | 3 | March 4, 2025 |
| October 2024 | $169,477,092 | 3 | April 5, 2024 |
| October 2023 | $168,167,818 | 3 | April 7, 2023 |
| October 2022 | $136,000,000 | 3 | March 26, 2022 |
| October 2021 | $117,721,850 | 2 | August 2, 2021 |
Regulatory assets under management: $117,721,850 in the October 2021 data and $252,299,559 in the October 2026 data, up 114%.
Total employees: 2 in October 2021 and 3 in October 2026.
As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.
Changes in the filing
Last 12 months- April 2026
- Regulatory assets under management went from $202,293,721 to $252,299,559 (+25%).
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.ISource: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. Winters Financial Group, Inc. (CRD 309549): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/winters-financial-group-inc-westlake-village-ca-309549