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WINTER & ASSOCIATES, INC.

ST. PAUL, MN · CRD 310349 · IAPD ↗ · (651) 414-5000

$179.7MRegulatory AUM
4Advisory reps
5Employees
0Clients
51-100Planning clients
0Private funds
7States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

42
May 2026 — WINTER & ASSOCIATES, INC. notice-filed in WI.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
42
March 2026 — WINTER & ASSOCIATES, INC. notice-filed in NY.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
58
March 2026 — WINTER & ASSOCIATES, INC. 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
44
May 2025 — WINTER & ASSOCIATES, INC. notice-filed in CA, TX.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
45
April 2025 — WINTER & ASSOCIATES, INC. moved its main office from SAINT PAUL, MN to ST. PAUL, MN.
Main office moved to a different city or state.
Office IT & facilitiesMarketing & brand
60
April 2025 — WINTER & ASSOCIATES, INC. reported RAUM up 27% ($116.2M -> $147.5M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
42
October 2024 — WINTER & ASSOCIATES, INC. notice-filed in NE.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
60
May 2024 — WINTER & ASSOCIATES, INC. began participating in a wrap-fee program.
Firm began participating in a wrap-fee program (Item 5I(1)).
Portfolio / reporting / TAMPCompliance
42
April 2024 — WINTER & ASSOCIATES, INC. notice-filed in FL.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand

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