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WINDROSE ADVISORS LLC

dba WINDROSE ADVISORS LLC · CRD 152145 · Registered Investment Adviser

Civil/Other disclosureCustody via related personManages private funds

WINDROSE ADVISORS LLC is a Registered Investment Adviser headquartered in WALTHAM, MA. The firm reports $2,669,012,816 in regulatory assets under management across 600 accounts, and manages 66 private fund(s). It reports 1 Form ADV Item 11 disciplinary disclosure(s) (Civil/Other).

Regulatory assets under management

Discretionary$982,503,159
Non-discretionary$1,686,509,657
Total RAUM$2,669,012,816
Accounts600

Disciplinary history (Form ADV Item 11)

This adviser answered "yes" to 1 Item 11 disclosure question(s):

CategoryReported
Criminal (11A / 11B)—
Regulatory (11C–11F)—
Civil / Other (11G / 11H)Yes

Item 11 captures firm-level Y/N disclosures only. For the narrative Disciplinary Reporting Pages, see the full Form ADV PDF on SEC IAPD.

About this data

Form ADV is the uniform registration form every investment adviser files with the U.S. Securities and Exchange Commission (and state regulators). Part 1A captures the firm's identity, assets under management, client base, custody arrangements, and disciplinary disclosures. This page mirrors the SEC's monthly firm-roster export with citations to the Investment Adviser Public Disclosure (IAPD) system, where the full brochure (Part 2) and disciplinary detail are available.

References

  1. U.S. Securities and Exchange Commission. Investment Adviser Public Disclosure — CRD 152145. adviserinfo.sec.gov/firm/summary/152145.
  2. SEC Form ADV firm roster (FOIA monthly export). sec.gov Form ADV data.

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