Windsor Advisory Group, LLC (Columbus)

Name: Windsor Advisory Group, LLC
Address: 300 Marconi Blvd., Columbus, OH, 43215 4100
Telephone: 614-545-0300

Windsor Advisory Group, LLC is a large advisory firm based in Columbus. It manages $1.21 billion of regulatory assets for 2,524 client accounts. It has been registered with the SEC as an adviser since 2006 and has operated in the jurisdictions of Florida, Ohio, and Texas.

Windsor Advisory Group provides financial planning services, portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients, and selection of other advisers. It prepares financial plans for more than 100 clients. On top of advisory services, the firm doesn't engage in other business activities.

Windsor Advisory Group: assets under management

The assets under management (AUM) of Windsor Advisory Group, LLC is $1.21 billion. The firm's AUM has grown by 270% since the beginning of its operation, and $5.08 million of the total AUM is attributable to clients outside of the United States.

The firm manages $1.03 billion in discretionary accounts and $178.23 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $444.18 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $861.02 thousand.

Windsor Advisory Group has custody of $238.87 million in cash and securities for 188 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in pooled investment vehicles the most. They account for 49% of the total AUM. The second-largest asset type is investment and business development companies, which make up 26% of the firm’s portfolio. Investments in exchange traded securities form 19% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Windsor Advisory Group, LLC for their services and products based on a percentage of assets under management and fixed fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Windsor Advisory Group serves?

The firm provides services to individuals, charitable organizations, high net worth individuals, pooled investment vehicles, and corporations or other businesses. The largest group of clients of Windsor Advisory Group is high net worth individuals with 168 clients and $948.45 million of assets under management. Among the 11 most similar advisory firms, Windsor Advisory Group has the 2nd highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $1.2 billion for 296 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 1% of the firm’s clients are foreign persons or businesses.

Windsor Advisory Group also advises several private funds. Namely, one other private fund. The minimum investment commitment required of non-related persons is $250,000 for each fund.

Careers at Windsor Advisory Group, LLC

The company employs 12 people that are either part- or full-time employees. 58 percent of the employees work as investment advisers or researchers. 5 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Harry Morgan Dye	Managing member	1 Jul 2002	50% - 75%	1621733
Joseph Stuart Davies	Member & chief investment officer	1 Sep 2002	25% - 50%	2510990
Beverly Jean Langley	Chief compliance officer	1 Sep 2006	Other	1195340
Jonathon Scott Eesley	Member	1 Dec 2013	Other	5036860
John Eugene Mozola	Coo & member	1 Jan 2018	Other	5510992

Based in Columbus

The principal office where Windsor Advisory Group, LLC performs its advisory services is located at 300 Marconi Blvd., Columbus, OH 43215 4100, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 614-545-0300. The normal business hours are 8am - 5pm est on Monday - Friday. You can find more information about the New York firm at windsoradvisorygroup.com.