{"url":"https://nivawealth.com/firms/westwind-capital-106802","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/106802","regulatoryAum":795933599,"crd":"106802","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"5721859","suffix":null,"lastName":"GROOMS","firstName":"PATRICK","middleName":"M"},{"crd":"7308268","suffix":null,"lastName":"Lieberwirth","firstName":"Scott","middleName":"Michael"},{"crd":"5718105","suffix":null,"lastName":"Stirling","firstName":"Jonathan","middleName":"Michael"},{"crd":"7521051","suffix":null,"lastName":"Tixier","firstName":"Jolie","middleName":null},{"crd":"4415201","suffix":null,"lastName":"WALTON","firstName":"ERIC","middleName":"MARSHALL"}],"total":5,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-01-26","regulatoryAum":492547748,"clients":732,"employees":8,"offices":1},{"filedOn":"2022-05-25","regulatoryAum":593131793,"clients":864,"employees":7,"offices":2},{"filedOn":"2023-06-01","regulatoryAum":482917004,"clients":880,"employees":7,"offices":2},{"filedOn":"2024-06-18","regulatoryAum":623306776,"clients":925,"employees":8,"offices":2},{"filedOn":"2025-02-25","regulatoryAum":715145223,"clients":1017,"employees":7,"offices":2},{"filedOn":"2026-08-03","regulatoryAum":795933599,"clients":1131,"employees":10,"offices":1}],"secFileNumber":"801-43661","legalName":"Westwind Capital","displayName":"Westwind Capital","slug":"westwind-capital-106802","website":"https://ww-capital.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/106802/63ce939296ff3a58-r1.webp","tone":"dark","width":636,"height":200,"sourceUrl":"https://ww-capital.com/","sourceLabel":"Westwind Capital, website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":"1992","organization":"New Mexico corporation","fiscalYearEnd":"December","headquarters":{"street":"1800 S. 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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","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Westwind Capital have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Westwind Capital invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Westwind Capital?","answer":"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","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Westwind Capital get paid?","answer":"Westwind Capital is paid through a percentage of assets under management. 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