Open Window Financial Solutions provides financial planning, portfolio management for individuals and small businesses, pension consulting, estate planning, insurance, and tax planning. Financial planning was provided to 51–100 clients last fiscal year.
Open Window Financial Solutions reports 101 clients. They include 65 high-net-worth individuals, 26 individual clients, and 10 pension and profit-sharing plans. Of its assets, 100.0% ($284M across 319 accounts) are managed with discretion.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 26% | 6% |
| High-net-worth individuals | 64% | 83% |
| Pension and profit-sharing plans | 10% | 11% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 26 | $15.9M | 5.6% | $611K |
| High-net-worth individuals | 65 | $236M | 83.1% | $3.64M |
| Pension and profit-sharing plans | 10 | $32.1M | 11.3% | $3.21M |
| Total | 101 | $284M | 100% | $2.82M |
- Clients
- 26
- Regulatory AUM
- $15.9M
- AUM share
- 5.6%
- Avg. per client
- $611K
- Clients
- 65
- Regulatory AUM
- $236M
- AUM share
- 83.1%
- Avg. per client
- $3.64M
- Clients
- 10
- Regulatory AUM
- $32.1M
- AUM share
- 11.3%
- Avg. per client
- $3.21M
Total
- Clients
- 101
- Regulatory AUM
- $284M
- AUM share
- 100%
- Avg. per client
- $2.82M
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 51–100
Open Window Financial Solutions charges 0.50%–1.75% a year for its Investment Advisory Services. The fee is billed in arrears and is negotiable. The brochure also prices one other service, listed under fee details.
Fee details and sources
Other fees
- Stand-Alone Financial Planning and Consulting
- Stand-alone financial planning and consulting is negotiable and generally charged hourly at $650 per hour.
Eric Hollen owns 75% or more of Open Window Financial Solutions. The leadership team of Open Window Financial Solutions includes President Eric Hollen. It has 6 employees, 3 of them in advisory roles.
Leadership
- Eric HollenPresident, Chief Compliance Officer
- Joseph HollenDirector
Investment adviser representatives
3 representatives listed in the SEC register as of 9 October 2026.
- Eric Anthony Hollen
- Joseph Robert Hollen
- Brendan Scott Keely
Staff
- 6 employees
- 3 in advisory functions
- 3 state-registered reps
- Owns 75% or more of Open Window Financial Solutions, LTD.
Eric Hollen
Control person · since February 2025
Open Window Financial Solutions’ regulatory assets grew 2.0× from $144M (April 2021) to $284M (March 2026); clients rose from 75 to 101 and employees from 4 to 6.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| March 2026 | $284M | 101 | 6 | 3 |
| July 2025 | $246M | 101 | 6 | 3 |
| April 2024 | $224M | 102 | 5 | 3 |
| March 2023 | $184M | 94 | 5 | 2 |
| March 2022 | $186M | 85 | 5 | 1 |
| April 2021 | $144M | 75 | 4 | 1 |
Besides its headquarters, Open Window Financial Solutions has 2 offices (2 private residences, listed without an address), with 1 listed address in Nevada.
Nevada · 1 listed address
- 4741 Caughlin Parkway, Suite 3, RenoHQ
Contact and registration details
- Legal name
- Open Window Financial Solutions, LTD.
- Headquarters
- 4741 Caughlin Parkway, Suite 3, Reno, NV 89519
- Website
- openwindowfs.com
- Phone
- 775-827-0670
- SEC file
- 801-114451
- Founded
- 2004
- Structure
- Nevada corporation
- Fiscal year end
- December
Open Window Financial Solutions uses Fidelity ($284M) as custodian for its separately managed accounts. Open Window Financial Solutions has custody of $150M in client assets for 56 clients.
- FidelityNational Financial Services LLC · Boston, MA · $284M100%
At year end, Open Window Financial Solutions’ separately managed accounts were mostly in funds (95%).
What the accounts hold
- Stocks1%
- Funds95%
- Cash4%
How many clients does Open Window Financial Solutions have?
Open Window Financial Solutions has 101 clients and manages $284 million for them, as of March 2026. They include 65 high-net-worth individuals, 26 individual clients, and 10 pension and profit-sharing plans.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 17 March 2026
What services does Open Window Financial Solutions offer?
Open Window Financial Solutions provides financial planning, portfolio management for individuals and small businesses, pension consulting, estate planning, insurance, and tax planning.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4
How much does Open Window Financial Solutions charge?
Open Window Financial Solutions charges 0.50%–1.75% a year for its Investment Advisory Services. The fee is billed in arrears and is negotiable.
Source: ADV PART 2A, filed 16 March 2026
Which custodians does Open Window Financial Solutions use?
Open Window Financial Solutions’ separately managed account assets are held at National Financial Services LLC (Boston, MA), with $284M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 17 March 2026
How many financial advisors does Open Window Financial Solutions have?
Open Window Financial Solutions has 3 investment adviser representatives registered with state securities authorities, out of 6 employees, and 3 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Open Window Financial Solutions invest in?
At the end of its last fiscal year, Open Window Financial Solutions’ separately managed accounts held 95% registered funds (mutual funds, ETFs, BDCs), 4% cash and equivalents and 1% exchange-traded equities.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Open Window Financial Solutions?
Open Window Financial Solutions’ direct owner is Eric Hollen (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 17 March 2026
How does Open Window Financial Solutions get paid?
Open Window Financial Solutions is paid through a percentage of assets under management, hourly charges and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
How do I contact Open Window Financial Solutions?
Open Window Financial Solutions’ main office is at 4741 Caughlin Parkway, Suite 3, Reno, NV 89519. Its phone number is 775-827-0670. Its website is openwindowfs.com.