{"url":"https://nivawealth.com/firms/windrock-wealth-management-166124","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/166124","regulatoryAum":363227815,"crd":"166124","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"6587454","suffix":null,"lastName":"Casey","firstName":"Christopher","middleName":"Patrick"},{"crd":"7404302","suffix":null,"lastName":"Kent","firstName":"Austin","middleName":"Miller"},{"crd":"6932952","suffix":null,"lastName":"Maben","firstName":"Brandy","middleName":"C"},{"crd":"2631078","suffix":null,"lastName":"RENTMEESTER","firstName":"BRETT","middleName":"KRISTIAN"}],"total":4,"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":"2021-03-15","regulatoryAum":214208103,"clients":33,"employees":2,"offices":1},{"filedOn":"2022-02-18","regulatoryAum":356494332,"clients":38,"employees":2,"offices":1},{"filedOn":"2023-05-03","regulatoryAum":342795865,"clients":59,"employees":3,"offices":1},{"filedOn":"2024-03-19","regulatoryAum":415293280,"clients":69,"employees":4,"offices":1},{"filedOn":"2025-07-11","regulatoryAum":290562560,"clients":73,"employees":4,"offices":1},{"filedOn":"2026-03-17","regulatoryAum":363227815,"clients":83,"employees":5,"offices":1}],"secFileNumber":"801-106722","legalName":"Windrock Wealth Management LLC","displayName":"Windrock Wealth Management","slug":"windrock-wealth-management-166124","website":"https://windrockwealth.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/166124/e3c49a47aff37b94-r1.webp","tone":"light","width":589,"height":200,"sourceUrl":"https://windrockwealth.com/","sourceLabel":"Windrock Wealth Management, website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/2975037/?trk=tyah","xUrl":"https://twitter.com/windrockwealth","founded":"2012","organization":"Arizona limited liability company","fiscalYearEnd":"December","headquarters":{"street":"225 West Jefferson Avenue, Suite 2","city":"Naperville","state":"IL","stateName":"Illinois","country":"United States","postalCode":"60540"},"tradeNames":[],"registration":{"secApproved":"6 October 2015","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":4376238.734939759,"staff":{"employees":5,"advisory":4,"brokerDealerReps":0,"insuranceAgents":0,"promoters":1},"aum":{"regulatory":363227815,"discretionary":363227815,"discretionaryAccounts":583,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":32,"regulatoryAum":20793382},{"label":"High-net-worth individuals","clients":51,"regulatoryAum":342434433}],"feePrograms":[{"role":"main","program":"Wealth Management 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plan.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1020152","versionId":1020152,"submittedOn":"2026-03-17","documentName":"WINDROCK WEALTH MANAGEMENT LLC ADV PART 2A AND 2B"},{"role":"other","program":"Retirement Plan Services","summary":"Retirement plan services for plan sponsors are charged on plan assets on the same stepped schedule, from 1.50% on the first $500,000 down to 0.25% above $10 million, billed quarterly in advance.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1020152","versionId":1020152,"submittedOn":"2026-03-17","documentName":"WINDROCK WEALTH MANAGEMENT LLC ADV PART 2A AND 2B"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T09:47:34.147888+00:00","documents":[{"name":"WINDROCK WEALTH MANAGEMENT LLC ADV PART 2A AND 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Rentmeester Dated August 14, 2008","detail":"Member in the 75% or more ownership band and a control person, since September 2012."},{"label":"Oceanrock, LLC","detail":"Owner in the 75% or more ownership band and a control person, since December 2020."},{"label":"Brett Rentmeester","detail":"Indirect owner: a trustee of Declaration of Trust of Brett K. Rentmeester Dated August 14, 2008 in the 75% or more band and a control person, since August 2008.","parent":"Declaration of Trust of Brett K. Rentmeester Dated August 14, 2008"},{"label":"Declaration Trust of Brett K. Rentmeester Dated August 14, 2008","detail":"Indirect owner: a owner of Oceanrock, LLC in the 75% or more band and a control person, since December 2020.","parent":"Oceanrock, LLC"}],"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Illinois","offices":1,"addresses":[{"street":"225 West Jefferson Avenue, Suite 2","city":"Naperville","headquarters":true}]}],"brochureServices":["family office services","retirement plan services"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"312-650-9593","stateRegisteredReps":4,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)","Performance-based fees"],"activities":["Portfolio management for individuals and/or small businesses","Selection of other advisers (including private fund managers)","Publication of periodicals or newsletters"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":7},{"label":"U.S. government/agency bonds","percent":10},{"label":"Investment grade corporate bonds","percent":4},{"label":"Securities issued by registered investment companies or business development companies","percent":34},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":42},{"label":"Cash and cash equivalents","percent":3}],"privateFunds":1},"sources":{"adv1FilingDate":"17 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/166124/PDF/166124.pdf","brochureDate":"17 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1020152","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 Windrock Wealth Management have?","answer":"Windrock Wealth Management has 83 clients and manages $363 million for them, as of March 2026. They include 51 high-net-worth individuals and 32 individual clients.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 17 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Windrock Wealth Management offer?","answer":"Windrock Wealth Management provides portfolio management for individuals and small businesses, selecting other managers, publishing newsletters, family office services, 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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Windrock Wealth Management charge?","answer":"Windrock Wealth Management charges 0.25%–1.50% a year for its Wealth Management Services. Each asset band is charged at its own rate. The fee is billed in advance, is negotiable and has a $7,500 annual minimum.","source":"WINDROCK WEALTH MANAGEMENT LLC ADV PART 2A AND 2B, filed 17 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Windrock Wealth Management use?","answer":"Windrock Wealth Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $166M. 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","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Windrock Wealth Management have?","answer":"Windrock Wealth Management has 4 investment adviser representatives registered with state securities authorities, out of 5 employees, and 4 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 Windrock Wealth Management invest in?","answer":"At the end of its last fiscal year, Windrock Wealth Management’s separately managed accounts held 42% pooled vehicles (private funds and similar), 34% registered funds (mutual funds, ETFs, BDCs), 10% U.S. government and agency bonds, 7% exchange-traded equities, 4% investment grade corporate bonds and 3% cash and equivalents. It advises 1 private fund.","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 Windrock Wealth Management?","answer":"Windrock Wealth Management is owned through a trust and a holding company by Brett Rentmeester and Declaration Trust of Brett K. Rentmeester Dated August 14, 2008. Its direct owners are Declaration of Trust of Brett K. Rentmeester Dated August 14, 2008 (75% or more) and Oceanrock, LLC (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 17 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Windrock Wealth Management get paid?","answer":"Windrock Wealth Management is paid through a percentage of assets under management, hourly charges, fixed fees and performance-based fees. Its Form ADV lists no commissions 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 Windrock Wealth Management registered with the SEC?","answer":"Yes, Windrock Wealth Management has been registered with the SEC as an investment adviser since 6 October 2015. Its CRD number is 166124 and its SEC file number is 801-106722.","source":"Form ADV Part 1A, Item 1, filed 17 March 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Windrock Wealth Management?","answer":"Windrock Wealth Management’s main office is at 225 West Jefferson Avenue, Suite 2, Naperville, IL 60540. Its phone number is 312-650-9593. Its website is windrockwealth.com.","source":"Form ADV Part 1A, Item 1.F, filed 17 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."}