Paul Winkler, Inc.
- Regulatory AUM
- $1.3B
- Discretionary
- $0
- Clients
- 2,459
- Avg AUM / client
- $519K
- Accounts
- 2,459
- Employees
- 22
AUM over time
Annual snapshots from Form ADV filings · as of Mar 13, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 2,052 | $561M | 44.0% |
| High net worth individuals | 367 | $686M | 53.8% |
| Charitable organizations | 2 | $1.3M | 0.1% |
| Corporations and other businesses | 38 | $26.7M | 2.09% |
People (14)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Paul Patrick Winkler | President | Chartered Financial Consultant | Oct 2000 (26y) | 75% or more |
| Winkler, Deborah, Ann | Director/ Secretary | Dec 2012 (14y) | Less than 5% | |
| Shaver, Leila, Mehrizi | Chief Compliance Officer | Aug 2024 (2y) | Less than 5% | |
| Lawrence Evan Barnard | Registered representative | CFP | Aug 2008 (18y) | |
| Jonathan Morris Walker | Registered representative | CFP | Sep 2011 (15y) | |
| Mariafearlene Brown | Registered representative | Chartered Financial Consultant | Jul 2014 (12y) | |
| James Philip Wood | Registered representative | CFP | Sep 2014 (12y) | |
| Curtis Chad Henson | Registered representative | CFP | Jan 2018 (9y) | |
| Michael John Sharpnack | Registered representative | May 2018 (8y) | ||
| Daniel Robert Hill | Registered representative | CFP | Nov 2019 (7y) | |
| Brian Christopher Koonce | Registered representative | CFP | Aug 2020 (6y) | |
| James David Dickson | Registered representative | CFP | Nov 2020 (6y) | |
| Scott Collins | Registered representative | Chartered Financial Consultant | May 2022 (4y) | |
| Roleen De Ono | Registered representative | Chartered Financial Consultant | Mar 2023 (3y) |
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.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/13/2026 | 1.09 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: STATE INVESTMENT ADVISOR LICENSE SUBMITTED FOR CLIENTS IN ALABAMA AFTER INADVERTENTLY EXCEEDING DE MINIMIS STANDARD RE # OF CLIENTS. Status: Final Sanction Detail: FINE $62954.43 PAID NOVEMBER 6, 2019. FINE AGAINST PAUL WINKLER INC. AND PAUL PATRICK WINKLER (NO PORTION SPECIFIED AGAINST EACH). NO PART OF PENALTY WAIVED. Summary: SUBMITTED INVESTMENT ADVISOR LICENSURE MARCH 2018; UNINTENTIONALLY EXCEEDED DE MINIMIS STANDARD FOR OPERATING IN ALABAMA WITHOUT IA LICENSE. CONSENT AGREEMENT TO SETTLE MATTER; AGREED TO PAID FINE AND WAS LICENSED TO OPERATE AS INVESTMENT ADVISOR IN ALABAMA.
Allegations: FROM APRIL 2019 THROUGH APRIL 2021, THE FIRM OPERATED AS AN INVESTMENT ADVISER IN TEXAS AT A TIME WHEN THE FIRM WAS NOT REGISTERED WITH THE SECURITIES COMMISSIONER AS AN INVESTMENT ADVISER AND WAS NO LONGER EXEMPT FROM REGISTRATION REQUIREMENTS. Status: Final Sanction Detail: THE TOTAL FINE WAS $5000, ALL OF WHICH WAS LEVIED AGAINST THE FIRM. THE FIRM PAID THE FINE IN FULL. Summary: THE FIRM HAD BEEN NOTICE FILED IN THE STATE OF TEXAS SINCE 2009. IN 2019, THE FIRM INADVERTENTLY EXCEEDED THE THRESHOLD REQUIRING IT TO CHANGE FROM BEING NOTICE FILED TO REGISTERED WITH THE TEXAS SECURITIES COMMISSIONER AS AN INVESTMENT ADVISOR. WHEN THE FIRM DETECTED THIS, IT SELF-REPORTED THE MATTER. THE FIRM CONSENTED TO ENTRY OF THE ORDER, PAID A FINE, AND IT IS NOW REGISTERED AS AN INVESTMENT ADVISOR IN THE STATE OF TEXAS.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Selection of other advisers
- • Educational seminars/workshops
Custody
Reported custodians
- Charles Schwab & Co. $725M (57% of AUM) Mar 2026
- Axos Clearing $500M (39% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have 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 13, 2026.
View current Form ADV (SEC/IAPD) ↗