Winter & Associates, Inc.
- Regulatory AUM
- $180M
- Discretionary
- $167M
- Clients
- 208
- Avg AUM / client
- $864K
- Accounts
- 565
- Employees
- 5
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Jul 07, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 161 | $55.8M | 31.1% |
| High net worth individuals | 42 | $111M | 61.9% |
| Pension and profit sharing plans | 5 | $12.7M | 7.09% |
People (3)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Nicole Winter Tietel | President, Chief Compliance Officer And Investment Advisor | Feb 2001 (26y) | 75% or more | |
| Taylor John Floren | Registered representative | Jan 2021 (6y) | ||
| Shelby Ann Birkeland | Registered representative | Nov 2024 (2y) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 07/07/2026 | 907 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
- • Selection of other advisers
Custody
Reported custodians
- Charles Schwab & Co. $97.4M (54% of AUM) Jul 2026
- Pershing $69.6M (39% of AUM) Jul 2026
- SEI Private Trust $28.6M (19% of AUM) Oct 2025
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jul 07, 2026.
View current Form ADV (SEC/IAPD) ↗