Wealth manager, independent · Palm Beach Gardens, FL
WIN Advisors, Inc
SEC-registered investment adviser · CRD 300351 · SEC 801-115311
At a glance
WIN Advisors, Inc is an SEC-registered investment adviser based in Palm Beach Gardens, Florida, with $267 million in regulatory assets under management as of its Form ADV filed March 22, 2026. Its largest client group by assets is individuals, and it reports 1,905 individual clients. By Form ADV it is a wealth manager, ranked 4,768th of 8,915 wealth managers and 10,756th of 17,210 SEC-registered advisers by assets.
Main office 561-472-2000As filed on Form ADV
- Regulatory AUM
- $267M
- Rank among wealth managers
- #4,768 of 8,915
- Rank among all SEC RIAs
- #10,756 of 17,210
- Rank in Florida
- #638 of 1,090
- Individual clients
- 1,905
- High-net-worth clients
- 12
- Accounts
- 1,941
- Discretionary
- 100% of AUM
- Employees
- 4
- Advisory staff
- 4
- Offices
- 1
Owners and executives on its Form ADV
- Denis Stephen WalshDirector and President
- Barry Richard RittmanTreasurer
- Mary Therese WalshSecretary and Chief Compliance Officer
Custody and brokerage
Broker-dealer
Hybrid RIA
WIN Advisors, Inc is a hybrid RIA: 4 of its employees are also registered representatives of a broker-dealer. It names affiliated broker-dealers: Abacus Investments, Inc., GWN Securities Inc. and Money Concepts Capital Corp.
- Abacus Investments, Inc. ↗CRD 35127
An introducing broker-dealer: its trades clear through Hilltop Securities, which holds the brokerage accounts. Its annual audited report filed with the SEC, January 2026
- GWN Securities Inc. ↗CRD 128929
- Money Concepts Capital Corp ↗CRD 12963
Its Form ADV brochure (filed March 2026) names Money Concepts Capital Corp as the broker-dealer its advisers are registered with.
Certain of WIN’s investment adviser representatives (“IARs”) are registered as broker-dealer registered representatives of MCCC; and a portion of the broker-dealer registered representatives of MCCC are registered as investment adviser repr
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Individuals | 1,893 | $240M | 90% |
| High-net-worth individuals | 12 | $19M | 7% |
| Pension and profit sharing plans | 23 | $4M | 2% |
| Corporations or other businesses | 7 | $3M | 1% |
| Charitable organizations | 6 | $1M | <1% |
Disciplinary disclosures
WIN Advisors, Inc reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
- Selecting other advisers
- Other services
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗
AtlasMembers
The full record on WIN Advisors, Inc
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 6 years of filings
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- Growth over one, three and five years
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- Rank against 6,433 peers of its type and size
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- Owners and executives, with titles and stakes
- 3 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does WIN Advisors, Inc manage?
WIN Advisors, Inc reports $267 million in regulatory assets under management across 1,941 accounts, 100% of it on a discretionary basis, on its Form ADV filed March 22, 2026.
What kind of firm is WIN Advisors, Inc?
WIN Advisors, Inc is a wealth manager by its Form ADV answers. At least half of its regulatory assets are managed for individuals and high-net-worth individuals.
Who are WIN Advisors, Inc’s clients?
By assets, its largest client types are individuals ($240 million, 1,893 clients); high-net-worth individuals ($19 million, 12 clients); pension and profit sharing plans ($4 million, 23 clients).
Does WIN Advisors, Inc have any disciplinary history?
WIN Advisors, Inc reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is WIN Advisors, Inc’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-03-22), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →