{"url":"https://nivawealth.com/firms/paul-winkler-119342","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/119342","regulatoryAum":1275401856,"crd":"119342","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"2373006","suffix":null,"lastName":"BARNARD","firstName":"LAWRENCE","middleName":"EVAN"},{"crd":"2772108","suffix":null,"lastName":"BROWN","firstName":"MARIAFEARLENE","middleName":null},{"crd":"7706843","suffix":null,"lastName":"De 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Winkler, Inc.","displayName":"Paul Winkler","slug":"paul-winkler-119342","website":"https://paulwinkler.podbean.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/paul-winkler-inc/","xUrl":"http://twitter.com/paulwinkler","founded":null,"organization":"Tennessee corporation","fiscalYearEnd":"December","headquarters":{"street":"3050 Business Park Circle, Suite 503","city":"Goodlettsville","state":"TN","stateName":"Tennessee","country":"United States","postalCode":"37072"},"tradeNames":[],"registration":{"secApproved":"1 June 2023","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":515675.7850351385,"staff":{"employees":22,"advisory":14,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":1275401856,"discretionary":0,"discretionaryAccounts":0,"nonDiscretionary":1275401856,"nonDiscretionaryAccounts":2459,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":22},"clientTypes":[{"label":"Individuals (other than HNW)","clients":2052,"regulatoryAum":561197611},{"label":"High-net-worth individuals","clients":367,"regulatoryAum":686222113},{"label":"Charitable organizations","clients":2,"regulatoryAum":1321599},{"label":"Corporations and other businesses","clients":38,"regulatoryAum":26660533}],"feePrograms":[{"role":"other","program":"Coaching and Planning Engagement","summary":"Work on the coaching or planning engagement is billed at $225 per hour for hours spent if the engagement is terminated after five business days.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1018921","versionId":1018921,"submittedOn":"2026-03-13","documentName":"PAUL WINKLER, INC FORM 2A BROCHURE"},{"role":"other","program":"Electronic Educational Courses","summary":"Each standalone electronic educational course has a one-time fee of $100 to $250 depending on the subject.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1018921","versionId":1018921,"submittedOn":"2026-03-13","documentName":"PAUL WINKLER, INC FORM 2A BROCHURE"},{"role":"other","program":"Wealth Planning","summary":"Wealth planning is a fixed fee of $2,500 to $10,000 for the initial engagement, based on the size and complexity of the client's situation.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1018921","versionId":1018921,"submittedOn":"2026-03-13","documentName":"PAUL WINKLER, INC FORM 2A BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T04:27:07.300169+00:00","documents":[{"name":"PAUL WINKLER, INC FORM 2A BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1018921","versionId":1018921,"submittedOn":"2026-03-13"}]},"custodians":[{"name":"Charles Schwab Investment Advisory, Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":724884714},{"name":"Axos Clearing LLC","shortName":"Axos Clearing","location":"Centennial, CO","smaAssets":499530080}],"custodyNote":"Paul Winkler does not have custody of client assets.","leadership":[{"name":"Paul Winkler","title":"President","crd":"1966712"},{"name":"Leila Shaver","title":"Chief Compliance Officer","crd":"5764341"},{"name":"Deborah Winkler","title":"Director/ Secretary","crd":"6776358"}],"ownership":[{"label":"Paul Winkler","detail":"President in the 75% or more ownership band and a control person, since October 2000."}],"filedOffices":{"otherThanPrincipal":10,"privateResidences":0},"listedOfficeAddresses":11,"foreignOffices":[],"officesByState":[{"state":"Tennessee","offices":11,"addresses":[{"street":"3050 Business Park Circle, Suite 503","city":"Goodlettsville","headquarters":true},{"street":"3050 Business Park Circle","city":"Goodlettsville"},{"street":"91 Mathis DR","city":"Dickson"},{"street":"2370 Quinland Lake RD","city":"Cookeville"},{"street":"101 W. Lincoln St.","city":"Tullahoma"},{"street":"567 Cason Lane","city":"Murfreesboro"},{"street":"1550 N. MT. Juliet RD.","city":"MT. Juliet"},{"street":"150 N. Water Avenue","city":"Gallatin"},{"street":"720 Cool Springs BLVD","city":"Franklin"},{"street":"130 Hillcrest Drive","city":"Clarksville"},{"street":"230 E. James Campbell BLVD.","city":"Columbia"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"615-851-1950","stateRegisteredReps":13,"otherAdviserReps":1,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Selection of other advisers (including private fund managers)","Educational seminars/workshops"],"financialPlanningClients":"2500","assetMix":[{"label":"Securities issued by registered investment companies or business development companies","percent":98},{"label":"Cash and cash equivalents","percent":2}],"privateFunds":0},"sources":{"adv1FilingDate":"13 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/119342/PDF/119342.pdf","brochureDate":"13 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1018921","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Paul Winkler have?","answer":"Paul Winkler has 2,459 clients and manages $1.28 billion for them, as of March 2026. They include 2,052 individual clients, 367 high-net-worth individuals, and 38 corporations and other businesses.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 13 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Paul Winkler offer?","answer":"Paul Winkler provides financial planning, portfolio management for individuals and small businesses, selecting other managers, and educational seminars.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Paul Winkler use?","answer":"Paul Winkler’s separately managed account assets are held at Charles Schwab Investment Advisory, Inc. (San Francisco, CA), with $725M and Axos Clearing LLC (Centennial, CO), with $500M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 13 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Paul Winkler have?","answer":"Paul Winkler has 13 investment adviser representatives registered with state securities authorities, out of 22 employees, and 14 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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Paul Winkler invest in?","answer":"At the end of its last fiscal year, Paul Winkler’s separately managed accounts held 98% registered funds (mutual funds, ETFs, BDCs) and 2% cash and equivalents.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Paul Winkler?","answer":"Paul Winkler’s direct owner is Paul Winkler (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 13 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Paul Winkler get paid?","answer":"Paul Winkler 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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Is Paul Winkler registered with the SEC?","answer":"Yes, Paul Winkler has been registered with the SEC as an investment adviser since 1 June 2023. Its CRD number is 119342 and its SEC file number is 801-128081.","source":"Form ADV Part 1A, Item 1, filed 13 March 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Paul Winkler?","answer":"Paul Winkler’s main office is at 3050 Business Park Circle, Suite 503, Goodlettsville, TN 37072. Its phone number is 615-851-1950. Its website is paulwinkler.podbean.com.","source":"Form ADV Part 1A, Item 1.F, filed 13 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}