← Tributary

WINDWARD CAPITAL MANAGEMENT CO

LOS ANGELES, CA · CRD 106908 · IAPD ↗ · windwardcapital.com · 310-893-3000

$1.86BRegulatory AUM
3Advisory reps
7Employees
0Clients
n/aPlanning clients
0Private funds
4States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

68
April 2026 — WINDWARD CAPITAL MANAGEMENT CO reported RAUM up 40% ($1.33B -> $1.86B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
55
April 2025 — WINDWARD CAPITAL MANAGEMENT CO shrank from 5 to 3 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
70
April 2025 — WINDWARD CAPITAL MANAGEMENT CO now reports custody of client assets ($199.9M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
47
August 2024 — WINDWARD CAPITAL MANAGEMENT CO notice-filed in AZ.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
85
February 2024 — WINDWARD CAPITAL MANAGEMENT CO crossed $1B in regulatory AUM ($940.0M -> $1.18B).
Regulatory AUM crossed $1B. Large-adviser status changes what they need and can afford.
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting

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