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WINDROSE ADVISORS LLC

WALTHAM, MA · CRD 152145 · IAPD ↗ · (617) 421-1750

$2.67BRegulatory AUM
8Advisory reps
23Employees
0Clients
51-100Planning clients
66Private funds
6States
1Disclosures
wealthSegment
ApprovedSEC status

Filing changes

49
April 2025 — WINDROSE ADVISORS LLC notice-filed in NY, TX.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
63
April 2025 — WINDROSE ADVISORS LLC reports 51-100 financial-planning clients, up from 26-50.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
55
April 2024 — WINDROSE ADVISORS LLC's Item 11 disclosure-reporting entries rose by 1 (0 -> 1).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
73
April 2024 — WINDROSE ADVISORS LLC grew from 5 to 8 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software

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