Westwind Capital provides financial planning, portfolio management for individuals and small businesses, portfolio management for pooled vehicles, portfolio management for institutions, and retirement plan services. Financial planning was provided to 26–50 clients last fiscal year.
Westwind Capital reports 1,131 clients. They include 742 individual clients, 230 high-net-worth individuals, and 135 pension and profit-sharing plans. Of its assets, 99.2% ($789M across 2,127 accounts) are managed with discretion; $6.73M across 4 accounts are not. It advised 5 clients without assets under management last fiscal year.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 66% | 27% |
| High-net-worth individuals | 20% | 66% |
| Pension and profit-sharing plans | 12% | 3% |
| Charitable organizations | 1% | 1% |
| Corporations and other businesses | <1% | 3% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 742 | $213M | 26.7% | $286K |
| High-net-worth individuals | 230 | $525M | 66.0% | $2.28M |
| Pension and profit-sharing plans | 135 | $21.9M | 2.7% | $162K |
| Charitable organizations | 14 | $11.4M | 1.4% | $815K |
| Corporations and other businesses | 10 | $25M | 3.1% | $2.5M |
| Total | 1,131 | $796M | 100% | $704K |
- Clients
- 742
- Regulatory AUM
- $213M
- AUM share
- 26.7%
- Avg. per client
- $286K
- Clients
- 230
- Regulatory AUM
- $525M
- AUM share
- 66.0%
- Avg. per client
- $2.28M
- Clients
- 135
- Regulatory AUM
- $21.9M
- AUM share
- 2.7%
- Avg. per client
- $162K
- Clients
- 14
- Regulatory AUM
- $11.4M
- AUM share
- 1.4%
- Avg. per client
- $815K
- Clients
- 10
- Regulatory AUM
- $25M
- AUM share
- 3.1%
- Avg. per client
- $2.5M
Total
- Clients
- 1,131
- Regulatory AUM
- $796M
- AUM share
- 100%
- Avg. per client
- $704K
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 5
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 26–50
Westwind Capital is paid through a percentage of assets under management. The reviewed brochures do not disclose an asset-based fee rate. Read the SEC-filed brochure. The brochure also prices one other service, listed under fee details.
Fee details and sources
Other fees
- Financial planning
- Financial planning fees are negotiated with the client, charged hourly or as a fixed fee; no rate is stated.
Eric Walton owns 50% to 75% of Westwind Capital. The leadership team of Westwind Capital includes President Eric Walton and Chief Compliance Officer Sheila Walton. It has 10 employees, 7 of them in advisory roles.
Leadership
Eric WaltonPresident
Sheila WaltonChief Compliance Officer
Scott LieberwirthShareholder
Jonathan StirlingShareholder- Jolie TixierShareholder
Patrick GroomsShareholder- Scott KozneyShareholder
Investment adviser representatives
5 representatives listed in the SEC register as of 9 October 2026.
Staff
- 10 employees
- 7 in advisory functions
- 4 state-registered reps
- 1 soliciting firm
- Owns 50% to 75% of Westwind Capital
Eric Walton
Control person · since January 2010
- Owns 10% to 25% of Westwind Capital
Scott Kozney
since January 2018
- Owns 5% to 10% of Westwind Capital
Patrick Grooms
since January 2018
Westwind Capital’s regulatory assets grew 1.6× from $493M (January 2021) to $796M (August 2026); clients rose from 732 to 1,131 and employees from 8 to 10.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| August 2026 | $796M | 1,131 | 10 | 1 |
| February 2025 | $715M | 1,017 | 7 | 2 |
| June 2024 | $623M | 925 | 8 | 2 |
| June 2023 | $483M | 880 | 7 | 2 |
| May 2022 | $593M | 864 | 7 | 2 |
| January 2021 | $493M | 732 | 8 | 1 |
Besides its headquarters, Westwind Capital has 0 offices, with 1 listed address in New Mexico.
New Mexico · 1 listed address
- 1800 S. Telshor, Las CrucesHQ
Contact and registration details
- Legal name
- Westwind Capital
- Headquarters
- 1800 S. Telshor, Las Cruces, NM 88011
- Website
- ww-capital.com
- Phone
- 575-556-8500
- SEC file
- 801-43661
- Founded
- 1992
- Structure
- New Mexico corporation
- Fiscal year end
- December
Westwind Capital uses Charles Schwab ($796M) as custodian for its separately managed accounts. Westwind Capital has custody of $217M in client assets for 389 clients.
- Charles SchwabCharles Schwab & Co., Inc. · Westlake, TX · $796M100%
At year end, Westwind Capital’s separately managed accounts were mostly in stocks (57%) and bonds (30%). Its reported 13F holdings for the quarter ended 30 June 2026 total $422K across 77 positions; the largest are Alphabet Inc. Cap Stk CL C (6.3%), Amazon Com Inc. (5.9%) and State Street SPDR Portfolio S&P 500 ETF (5.2%).
What the accounts hold
- Stocks57%
- Funds5%
- Bonds30%
- State and local bonds20%
- U.S. government and agency bonds9%
- Investment grade corporate bonds1%
- Cash8%
Reported 13F holdings
- $422K
- Reported 13F value
- 77
- Positions
- 46.5%
- In the 10 largest
- +1.4%
- Value vs. prior quarter
- Alphabet Inc. Cap Stk CL C6.3%
- Amazon Com Inc.5.9%
- State Street SPDR Portfolio S&P 500 ETFETF5.2%
- Visa Inc. Com CL A5.1%
- Mastercard Incorporated CL A4.6%
- Netflix Inc..4.4%
- Nvidia Corporation4.2%
- Prologis Inc..3.8%
- Goldman Sachs Group Inc.3.5%
- Texas Pacific Land Corporation3.5%
Together, the ten largest are 46.5% of reported value.
How many clients does Westwind Capital have?
Westwind Capital has 1,131 clients and manages $796 million for them, as of August 2026. They include 742 individual clients, 230 high-net-worth individuals, and 135 pension and profit-sharing plans.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 3 August 2026
What services does Westwind Capital offer?
Westwind Capital provides financial planning, portfolio management for individuals and small businesses, portfolio management for pooled vehicles, portfolio management for institutions, and retirement plan services.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4
Which custodians does Westwind Capital use?
Westwind Capital’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $796M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 3 August 2026
How many financial advisors does Westwind Capital have?
Westwind Capital has 4 investment adviser representatives registered with state securities authorities, out of 10 employees, and 7 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 Westwind Capital invest in?
At the end of its last fiscal year, Westwind Capital’s separately managed accounts held 57% exchange-traded equities, 20% state and local bonds, 9% U.S. government and agency bonds, 8% cash and equivalents, 5% registered funds (mutual funds, ETFs, BDCs) and 1% investment grade corporate bonds.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Westwind Capital?
Westwind Capital’s direct owners are Eric Walton (50% to 75%), Patrick Grooms (5% to 10%) and Scott Kozney (10% to 25%).
Source: Form ADV Part 1A, Schedules A and B, filed 3 August 2026
How does Westwind Capital get paid?
Westwind Capital is paid through a percentage of assets under management. 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
Is Westwind Capital registered with the SEC?
Yes, Westwind Capital has been registered with the SEC as an investment adviser since 7 April 1993. Its CRD number is 106802 and its SEC file number is 801-43661.
Source: Form ADV Part 1A, Item 1, filed 3 August 2026; IAPD firm record
How do I contact Westwind Capital?
Westwind Capital’s main office is at 1800 S. Telshor, Las Cruces, NM 88011. Its phone number is 575-556-8500. Its website is ww-capital.com.