Westwind Capital
- Regulatory AUM
- $796M
- Discretionary
- $789M
- Clients
- 1,131
- Avg AUM / client
- $704K
- Accounts
- 2,131
- Employees
- 10
AUM over time
Annual snapshots from Form ADV filings · as of Apr 07, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 742 | $213M | 26.7% |
| High net worth individuals | 230 | $525M | 66.0% |
| Pension and profit sharing plans | 135 | $21.9M | 2.75% |
| Charitable organizations | 14 | $11.4M | 1.43% |
| Corporations and other businesses | 10 | $25.0M | 3.14% |
Private funds (1)
Reported in Form ADV Section 7.B.(1), filing of Aug 2024 · $2.2M combined gross assets
| Fund | Type | Domicile | Gross assets | Owners |
|---|---|---|---|---|
| Spence Asset Management Strategic Opportunities Fund I, Lp | Real Estate Fund | Delaware | $2.2M | 9 |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Sisbarro Dealerships 401(k) Profit Sharing Plan And Trust Sisbarro Autoworld, Inc. | 2024 | |
| Southwest Airlines Pilots Retirement Savings Plan Southwest Airlines Company | 2024 |
People (9)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Eric Marshall Walton | President | Oct 2003 (23y) | 50% – 75% | |
| Spence, James, William | Director | Jan 2010 (17y) | 10% – 25% | |
| Walton, Sheila, Christine | Chief Compliance Officer | Sep 2010 (16y) | Less than 5% | |
| Patrick M Grooms | Shareholder | CFP CFA | Aug 2016 (10y) | Less than 5% |
| Kozney, Scott, Frederick | Shareholder | Jan 2018 (9y) | 10% – 25% | |
| Scott Michael Lieberwirth | Registered representative | CFP | Dec 2020 (6y) | |
| Jonathan Michael Stirling | Registered representative | Jan 2022 (5y) | ||
| Marco A Rodriguez | Registered representative | Apr 2022 (4y) | ||
| Jolie Tixier | Registered representative | Nov 2023 (3y) |
Undisclosed: 0% – 30% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Private funds (1, $2.2M gross assets)
| Fund | Type | Gross assets | Min. investment | Owners |
|---|---|---|---|---|
| Spence Asset Management Strategic Opportunities Fund I, Lp | Real Estate Fund | $2.2M | $100K | 9 |
From Form ADV Section 7.B private fund reporting.
Retirement plans served (2)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Sisbarro Dealerships 401(k) Profit Sharing Plan And Trust | Sisbarro Autoworld, Inc. | 109 | $6.1M | 01/01/2024 |
| Southwest Airlines Pilots Retirement Savings Plan | Southwest Airlines Company | 11,679 | $11.6B | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 04/07/2026 | 911 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- Charles Schwab & Co. $796M (100% of AUM) Apr 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Apr 07, 2026.
View current Form ADV (SEC/IAPD) ↗