Private fund adviser · New York, NY
Windrose Health Investors, LLC
SEC-registered investment adviser · CRD 160311 · SEC 801-73671
At a glance
Windrose Health Investors, LLC is an SEC-registered investment adviser based in New York, New York, with $7.0 billion in regulatory assets under management as of its Form ADV filed May 5, 2026. Its largest client group by assets is pooled investment vehicles. By Form ADV it is a private fund adviser, ranked 778th of 4,686 private fund advisers and 1,695th of 17,210 SEC-registered advisers by assets.
Main office 212-887-2105windrose.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $7.0B
- Rank among private fund advisers
- #778 of 4,686
- Rank among all SEC RIAs
- #1,695 of 17,210
- Rank in New York
- #439 of 2,591
- Clients
- 12
- Accounts
- 12
- Discretionary
- 100% of AUM
- Employees
- 22
- Advisory staff
- 17
- Offices
- 1
Owners and executives on its Form ADV
- Oliver T. MosesManaging Partner
- Alexander N. BuzikPartner
- Michael J. SpiciarichCCO
- Christopher J. BurnesPartner
- David M. PontiusPartner
- Charles B. HallPartner
Custody and brokerage
Custodian
Windrose Health Investors, LLC’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.
Broker-dealer
Affiliated broker-dealer
It names an affiliated broker-dealer: MTS Securities, LLC.
- MTS Securities, LLC ↗CRD 104059
Its Form ADV brochure (filed March 2026) names MTS Securities as the broker-dealer its advisers are registered with.
ITIES AND AFFILIATIONS Broker-Dealer Affiliate Certain of the Adviser’s management persons may be registered representatives of MTS Securities, LLC, a registered broker-dealer, if necessary or appropriate to perform their responsibilities.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Pooled investment vehicles | 12 | $7.0B | 100% |
Private funds
Windrose Health Investors, LLC reports 12 private funds with $7.0B in gross assets: private equity funds (Form ADV Item 7.B).
Disciplinary disclosures
Windrose Health Investors, LLC reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for pooled investment vehicles
How it’s paid
- A percentage of assets under management
- Performance-based fees
Form ADV and brochures on the SEC’s adviser search ↗windrose.com ↗
AtlasMembers
The full record on Windrose Health Investors, LLC
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, ten years of filings
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- Growth over one, three and five years
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- Rank against 1,180 peers of its type and size
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- Owners and executives, with titles and stakes
- 6 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 1Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Windrose Health Investors, LLC manage?
Windrose Health Investors, LLC reports $7.0 billion in regulatory assets under management across 12 accounts, 100% of it on a discretionary basis, on its Form ADV filed May 5, 2026.
What kind of firm is Windrose Health Investors, LLC?
Windrose Health Investors, LLC is a private fund adviser by its Form ADV answers. Private funds are at least half of its business by assets.
Who are Windrose Health Investors, LLC’s clients?
By assets, its largest client types are pooled investment vehicles ($7.0 billion, 12 clients).
Does Windrose Health Investors, LLC manage private funds?
Yes. It reports 12 private funds with $7.0 billion in gross assets, including private equity funds.
Does Windrose Health Investors, LLC have any disciplinary history?
Windrose Health Investors, LLC 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 Windrose Health Investors, LLC’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 (2026-05-05), 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 →