WINDSOR GROUP LTD

https://twitter.com/windsorwealth?lang=en INDIANAPOLIS, IN Investment Advisor How do I update this listing?

Windsor Group LTD is based out of Indianapolis. Windsor Group LTD is a large advisory firm with 813 clients and discretionary assets under management (AUM) of $1,210,678,245 (Form ADV from 2019-09-18). Their last reported 13F filing for Q4 2019 included $271,738,000 in managed 13F securities and a top 10 holdings concentration of 38.76%. Windsor Group LTD's largest holding is iShares Russell Mid-Cap Value ETF with shares held of 325,772. Whalewisdom has at least 9 13F filings

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12/31/2019

13F Sector Allocation Over Time

12/31/2019

13F Activity

  • Market Value $271.738 Million
  • Prior Market Value $229.44 Million
  • New Purchases14 stocks
  • Additional Purchases100 stocks
  • Sold out of4 stocks
  • Reduced holdings in52 stocks
  • Top 10 Holdings % 38.76 %
  • Turnover % [1]:9.73%
  • Turnover Alt % [2]: 12.29 %
  • Time Held Top20:4.35 quarters
  • Time Held Top10:2.90 quarters
  • Time Held All:5.72 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-11-14

Performance for Q3 2019: 6.91%
Performance Last 4 Quarters: 10.87%
Performance Metrics
Stats are not available for the latest quarter

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13F Filings Available:
  • 2019-12-31 - 13F-HR (Subscription required)
  • 2019-09-30 - 13F-HR (Subscription required)
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

WINDSOR WEALTH MANAGEMENT, INC.
500 E. 96TH STREET, SUITE 450
INDIANAPOLIS IN    46240
Country: United States

Business Phone: 317-848-3005
Fax: 317-844-9614
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Corporation
Organized in: IN
Number of employees: 16
Other Business Activities: registered representative of a broker-dealer,insurance broker or agent,bank
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,Fixed fees
Amount of client funds and securities: 516,168,000
Total Number of Clients: 813
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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Form 4 - Recent Insider Transactions

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WINDSOR WEALTH MANAGEMENT, INC.

ownership team - last updated 2019-09-18
Name Title Start Date Direct/Indirect % Ownership
ULSAS, MATTHEW CHIEF COMPLIANCE OFFICER 03/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
WINDSOR GROUP LTD CHIEF COMPLIANCE OFFICER direct 2008-03-01
CLARK, RANDALL, DEAN PRINCIPAL 11/01/1986 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
WINDSOR GROUP LTD PRINCIPAL direct 1986-11-01
WINDSOR GROUP LTD PRINCIPAL/CHIEF COMPLIANCE OFFICER direct 1986-11-01 2008-01-25
MITZELL, CHANNING, FREDERICK PRINCIPAL 11/01/1986 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
WINDSOR GROUP LTD PRINCIPAL direct 1986-11-01
SHUPE, BRIAN, TODD PRINCIPAL 07/01/2000 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
WINDSOR GROUP LTD PRINCIPAL direct 2000-07-01
ESPOSITO, FRANK, JOSEPH PRINCIPAL 11/01/2018 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
WASHINGTON & SCOVILLE, LLC MEMBER, MANAGER, CHIEF COMPLIANCE OFFICER direct 2015-08-01

WINDSOR WEALTH MANAGEMENT, INC.

ownership team - last updated 2019-03-01
Name Title Start Date Direct/Indirect % Ownership
CLARK, RANDALL, DEAN PRINCIPAL 11/01/1986 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
WINDSOR GROUP LTD PRINCIPAL direct 1986-11-01
WINDSOR GROUP LTD PRINCIPAL/CHIEF COMPLIANCE OFFICER direct 1986-11-01 2008-01-25
MITZELL, CHANNING, FREDERICK PRINCIPAL 11/01/1986 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
WINDSOR GROUP LTD PRINCIPAL direct 1986-11-01
SHUPE, BRIAN, TODD PRINCIPAL 07/01/2000 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
WINDSOR GROUP LTD PRINCIPAL direct 2000-07-01
ULSAS, MATTHEW CHIEF COMPLIANCE OFFICER 03/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
WINDSOR GROUP LTD CHIEF COMPLIANCE OFFICER direct 2008-03-01
ESPOSITO, FRANK, JOSEPH PRINCIPAL 11/01/2018 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
WASHINGTON & SCOVILLE, LLC MEMBER, MANAGER, CHIEF COMPLIANCE OFFICER direct 2015-08-01

WINDSOR WEALTH MANAGEMENT, INC.

ownership team - last updated 2018-11-26
Name Title Start Date Direct/Indirect % Ownership
SHUPE, BRIAN, TODD PRINCIPAL 07/01/2000 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
WINDSOR GROUP LTD PRINCIPAL direct 2000-07-01
CLARK, RANDALL, DEAN PRINCIPAL 11/01/1986 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
WINDSOR GROUP LTD PRINCIPAL direct 1986-11-01
WINDSOR GROUP LTD PRINCIPAL/CHIEF COMPLIANCE OFFICER direct 1986-11-01 2008-01-25
MITZELL, CHANNING, FREDERICK PRINCIPAL 11/01/1986 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
WINDSOR GROUP LTD PRINCIPAL direct 1986-11-01
ULSAS, MATTHEW CHIEF COMPLIANCE OFFICER 03/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
WINDSOR GROUP LTD CHIEF COMPLIANCE OFFICER direct 2008-03-01
ESPOSITO, FRANK, JOSEPH PRINCIPAL 11/01/2018 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
WASHINGTON & SCOVILLE, LLC MEMBER, MANAGER, CHIEF COMPLIANCE OFFICER direct 2015-08-01

WINDSOR GROUP LTD

ownership team - last updated 2017-05-30
Name Title Start Date Direct/Indirect % Ownership
CLARK, RANDALL, DEAN PRINCIPAL 11/01/1986 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
WINDSOR GROUP LTD PRINCIPAL direct 1986-11-01
WINDSOR GROUP LTD PRINCIPAL/CHIEF COMPLIANCE OFFICER direct 1986-11-01 2008-01-25
MITZELL, CHANNING, FREDERICK PRINCIPAL 11/01/1986 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
WINDSOR GROUP LTD PRINCIPAL direct 1986-11-01
SHUPE, BRIAN, TODD PRINCIPAL 07/01/2000 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
WINDSOR GROUP LTD PRINCIPAL direct 2000-07-01
ULSAS, MATTHEW CHIEF COMPLIANCE OFFICER 03/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
WINDSOR GROUP LTD CHIEF COMPLIANCE OFFICER direct 2008-03-01

**EXPERIMENTAL** Current Hong Kong Exchange Long Positions

Updated daily

Holder Issuer Transaction Date Transaction Type Avg PPS Shares Involved Shares Owned % Capital Origin
Windsor Dynasty Limited C C Land Holdings Ltd. 2019-12-23 Long 1.658 39,027,000 2,056,660,906 52.97% Hong Kong
Windsor Dynasty Limited Cross-Harbour (Holdings) Ltd., The 2019-12-03 Long 12.01 3,647,000 83,204,621 22.33% Hong Kong

Position History

Holder Issuer Transaction Date Transaction Type Avg PPS Shares Involved Shares Owned % Capital Origin
Windsor Dynasty Limited C C Land Holdings Ltd. 2019-09-19 Long 1.75 1,606,215,346 2,013,931,906 51.87% Hong Kong
Windsor Dynasty Limited C C Land Holdings Ltd. 2019-08-28 Long 0.0 407,716,560 407,716,560 10.5% Hong Kong
Windsor Dynasty Limited Cross-Harbour (Holdings) Ltd., The 2019-11-13 Long 11.0 9,950,000 79,524,621 21.34% Hong Kong
Windsor Dynasty Limited Cross-Harbour (Holdings) Ltd., The 2019-11-12 Long 10.608 10,000,000 69,574,621 18.67% Hong Kong
Windsor Dynasty Limited Cross-Harbour (Holdings) Ltd., The 2019-11-11 Long 10.857 9,360,000 59,574,621 15.99% Hong Kong
Windsor Dynasty Limited Cross-Harbour (Holdings) Ltd., The 2019-09-20 Long 11.0 8,688,870 50,214,621 13.47% Hong Kong
Windsor Dynasty Limited Cross-Harbour (Holdings) Ltd., The 2019-09-20 Long 11.0 4,424,000 41,525,751 11.14% Hong Kong
Windsor Dynasty Limited Cross-Harbour (Holdings) Ltd., The 2019-09-05 Long 11.0 6,078,000 37,101,751 9.96% Hong Kong
Windsor Dynasty Limited Cross-Harbour (Holdings) Ltd., The 2019-09-02 Long 11.08 22,548,402 31,023,751 8.32% Hong Kong

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