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WESTWIND CAPITAL

LAS CRUCES, NM · CRD 106802 · IAPD ↗ · ww-capital.com · 575-556-8500

$795.9MRegulatory AUM
7Advisory reps
10Employees
5Clients
26-50Planning clients
0Private funds
10States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

68
May 2026 — WESTWIND CAPITAL now reports custody of client assets ($216.9M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
53
March 2025 — WESTWIND CAPITAL notice-filed in FL, MA, NC, NE, NV.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
58
July 2024 — SPENCE ASSET MANAGEMENT is now doing business as WESTWIND CAPITAL.
Primary business name changed: rebrand, merger, or ownership change.
Marketing & brandCRM
73
June 2024 — SPENCE ASSET MANAGEMENT now reports 1 private fund(s) ($2.1M gross).
Firm reports private funds for the first time.
Fund administrationCompliance
28
February 2024 — SPENCE ASSET MANAGEMENT changed its website from spenceassetmanagement.com to ww-capital.com.
Primary website domain changed (social-media URLs ignored) — usually a rebrand or new site.
Marketing & brand
53
February 2024 — SPENCE ASSET MANAGEMENT added office(s): 1 -> 2 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
70
February 2024 — SPENCE ASSET MANAGEMENT crossed $500M in regulatory AUM ($482.9M -> $621.1M).
Regulatory AUM crossed $500M.
Portfolio / reporting / TAMPCRMIntegration & migration consulting

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.