Southwind Associates Of Nj Inc.
- Regulatory AUM
- $299M
- Discretionary
- $98.8M
- Clients
- 76
- Avg AUM / client
- $3.9M
- Accounts
- 122
- Employees
- 4
AUM over time
Annual snapshots from Form ADV filings · as of Mar 18, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 46 | $7.4M | 2.46% |
| High net worth individuals | 26 | $125M | 41.7% |
| Pooled investment vehicles (non-investment companies) | 2 | $22.0M | 7.36% |
| Charitable organizations | 2 | $145M | 48.5% |
Private funds (2)
Reported in Form ADV Section 7.B.(1), filing of Mar 2024 · $16.4M combined gross assets
| Fund | Type | Domicile | Gross assets | Owners |
|---|---|---|---|---|
| Cain5 L.P. | Hedge Fund | Delaware | $11.2M | 22 |
| Central Partners L.P. | Hedge Fund | Delaware | $5.1M | 16 |
People (2)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| William Scott Villafranco | President | Oct 1996 (30y) | 75% or more | |
| Villafranco, Amanda, Marie | Chief Compliance Officer | Mar 2023 (3y) | Less than 5% |
Undisclosed: 0% – 25% 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 (2, $16.4M gross assets)
| Fund | Type | Gross assets | Min. investment | Owners |
|---|---|---|---|---|
| Cain5 L.P. | Hedge Fund | $11.2M | $250K | 22 |
| Central Partners L.P. | Hedge Fund | $5.1M | $250K | 16 |
From Form ADV Section 7.B private fund reporting.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/18/2026 | 1.47 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: VARIOUS ALLEGED VIOLATIONS OF ADVISERS ACT AND RULES THEREUNDER, VIOLATIONS OF RULE 30(A) OF REGULATION S-P Status: Final Sanction Detail: $50,000 LEVIED AGAINST THE FIRM AND MR. VILLAFRANCO. PAID AS PART OF PAYMENT PLAN. Summary: SOUTHWIND AND WILLIAM VILLAFRANCO RECENTLY AGREED TO SETTLE A MATTER BROUGHT BY THE U.S. SECURITIES AND EXCHANGE COMMISSION. WE CONSENTED TO THE ENTRY OF AN ORDER WHICH INVOLVED ALLEGED VIOLATIONS OF THE BOOKS AND RECORDS REQUIREMENTS, THE CUSTODY RULE, AND INADEQUATE WRITTEN POLICIES AND PROCEDURES.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for pooled investment vehicles
- • Selection of other advisers
Custody
Reported custodians
- Charles Schwab & Co. $208M (70% of AUM) Mar 2026
- Fidelity Brokerage Services $31.0M (12% of AUM) Jun 2020
- First Republic Securities Company, Llc $9.8M (4% of AUM) Nov 2023
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: Mar 18, 2026.
View current Form ADV (SEC/IAPD) ↗