WINDHAVEN INVESTMENT MANAGEMENT, INC.
CRD #155138 SEC #801-71836 BOSTON, MA (617) 960-5300
SEC Registered
Total AUM
$8.1B
Discretionary
$8.1B
Employees
51
Clients
--
Accounts
25,350
Firm Details
- Organization Type
- Corporation
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Feb 15, 2018
- Branch Offices
- 6
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| ANGUS, TED, FYKE | I | VP & CHIEF LEGAL OFFICER | NA | |
| ANGUS, TED, FYKE | I | VP & CHIEF LEGAL OFFICER | NA | |
| BATES, MARLENE, MARIE-LAURE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| BATES, MARLENE, MARIE-LAURE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| BATES, MARLENE, MARIE-LAURE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| BATES, MARLENE, MARIE-LAURE | I | CHIEF FINANCIAL OFFICER AND DIRECTOR | NA | Control |
| BATES, MARLENE, MARIE-LAURE | I | CHIEF FINANCIAL OFFICER AND DIRECTOR | NA | Control |
| BATES, MARLENE, MARIE-LAURE | I | CHIEF FINANCIAL OFFICER AND DIRECTOR | NA | Control |
| BRATT, RHETT, CHARLES | I | VICE PRESIDENT AND CFO | NA | Control |
| BRATT, RHETT, CHARLES | I | VICE PRESIDENT AND CFO | NA | Control |
| BRATT, RHETT, CHARLES | I | VICE PRESIDENT AND CFO | NA | Control |
| BRATT, RHETT, CHARLES | I | VICE PRESIDENT AND CFO | NA | Control |
| BRATT, RHETT, CHARLES | I | VICE PRESIDENT AND CFO | NA | Control |
| BRATT, RHETT, CHARLES | I | VICE PRESIDENT AND CFO | NA | Control |
| BRATT, RHETT, CHARLES | I | VICE PRESIDENT AND CFO | NA | Control |
| BRATT, RHETT, CHARLES | I | VICE PRESIDENT AND CFO | NA | Control |
| BRATT, RHETT, CHARLES | I | VICE PRESIDENT AND CFO | NA | Control |
| BRATT, RHETT, CHARLES | I | VICE PRESIDENT AND CFO | NA | Control |
| COOK, SCOTT, ANDREW | I | SVP & CHIEF COMPLIANCE OFFICER | NA | |
| COOK, SCOTT, ANDREW | I | SVP & CHIEF COMPLIANCE OFFICER | NA | |
| CROSIER, LOUIS, PYLE | I | SENIOR MANAGING DIRECTOR | NA | |
| CROSIER, LOUIS, PYLE | I | SENIOR MANAGING DIRECTOR | NA | |
| CROSIER, LOUIS, PYLE | I | SENIOR VICE PRESIDENT | NA | |
| CROSIER, LOUIS, PYLE | I | SENIOR MANAGING DIRECTOR | NA | |
| CROSIER, LOUIS, PYLE | I | SENIOR MANAGING DIRECTOR | NA | |
| CROSIER, LOUIS, PYLE | I | SENIOR MANAGING DIRECTOR | NA | |
| CROSIER, LOUIS, PYLE | I | SENIOR MANAGING DIRECTOR | NA | |
| CROSIER, LOUIS, PYLE | I | SENIOR MANAGING DIRECTOR | NA | |
| CROSIER, LOUIS, PYLE | I | SENIOR MANAGING DIRECTOR | NA | |
| CROSIER, LOUIS, PYLE | I | SENIOR MANAGING DIRECTOR | NA | |
| CROSIER, LOUIS, PYLE | I | SENIOR MANAGING DIRECTOR | NA | |
| CUCCHIARO, STEPHEN, JOSEPH | I | SENIOR VICE PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | |
| CUCCHIARO, STEPHEN, JOSEPH | I | SENIOR VICE PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | |
| CUCCHIARO, STEPHEN, JOSEPH | I | SENIOR VICE PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | |
| CUCCHIARO, STEPHEN, JOSEPH | I | SENIOR VICE PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | |
| CUCCHIARO, STEPHEN, JOSEPH | I | SENIOR VICE PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | |
| CUCCHIARO, STEPHEN, JOSEPH | I | SENIOR VICE PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | |
| CUCCHIARO, STEPHEN, JOSEPH | I | SENIOR VICE PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | |
| CUCCHIARO, STEPHEN, JOSEPH | I | SENIOR VICE PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | |
| CUCCHIARO, STEPHEN, JOSEPH | I | SENIOR VICE PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | |
| CUCCHIARO, STEPHEN, JOSEPH | I | SENIOR VICE PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | |
| CUCCHIARO, STEPHEN, JOSEPH | I | SENIOR VICE PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | |
| CUCCHIARO, STEPHEN, JOSEPH | I | SENIOR VICE PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | |
| CUCCHIARO, STEPHEN, JOSEPH | I | SENIOR VICE PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | |
| CUCCHIARO, STEPHEN, JOSEPH | I | SENIOR VICE PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | |
| CUCCHIARO, STEPHEN, JOSEPH | I | SENIOR VICE PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | |
| CUCCHIARO, STEPHEN, JOSEPH | I | SENIOR VICE PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | |
| DUFFY, ALYSSA | I | DIRECTOR - LEGAL COUNSEL | NA | |
| DUFFY, ALYSSA | I | DIRECTOR - LEGAL COUNSEL | NA | |
| DUFFY, ALYSSA | I | DIRECTOR - LEGAL COUNSEL | NA | Control |
| DUFFY, ALYSSA | I | DIRECTOR - LEGAL COUNSEL | NA | Control |
| DUFFY, ALYSSA | I | DIRECTOR - LEGAL COUNSEL | NA | Control |
| DUFFY, ALYSSA | I | CHIEF LEGAL COUNSEL | NA | Control |
| DUFFY, ALYSSA | I | CHIEF LEGAL COUNSEL | NA | Control |
| DUFFY, ALYSSA | I | CHIEF LEGAL COUNSEL | NA | Control |
| GILLESPIE, MICHAEL, EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | |
| GILLESPIE, MICHAEL, EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | |
| GILLESPIE, MICHAEL, EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GILLESPIE, MICHAEL, EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | |
| GILLESPIE, MICHAEL, EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | |
| GILLESPIE, MICHAEL, EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | |
| GILLESPIE, MICHAEL, EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | |
| GILLESPIE, MICHAEL, EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | |
| GILLESPIE, MICHAEL, EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GILLESPIE, MICHAEL, EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GILLESPIE, MICHAEL, EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | |
| GILLESPIE, MICHAEL, EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | |
| GILLESPIE, MICHAEL, EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | |
| GILLESPIE, MICHAEL, EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | |
| GILLESPIE, MICHAEL, EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | |
| GILLESPIE, MICHAEL, EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GILLESPIE, MICHAEL, EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GILLESPIE, MICHAEL, EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GILLESPIE, MICHAEL, EDWARD | I | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | NA | Control |
| GILLESPIE, MICHAEL, EDWARD | I | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | NA | Control |
| GILLESPIE, MICHAEL, EDWARD | I | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | NA | Control |
| HENDRICKSON, DOUGLAS, STANTON | I | VP AND CFO | NA | |
| HENDRICKSON, DOUGLAS, STANTON | I | VP AND CFO | NA | |
| HENDRICKSON, DOUGLAS, STANTON | I | CFO | NA | |
| HENDRICKSON, DOUGLAS, STANTON | I | VP AND CFO | NA | |
| HENDRICKSON, DOUGLAS, STANTON | I | CFO | NA | |
| HENDRICKSON, DOUGLAS, STANTON | I | VP AND CFO | NA | |
| HENDRICKSON, DOUGLAS, STANTON | I | VICE PRESIDENT AND CFO | NA | |
| HENDRICKSON, DOUGLAS, STANTON | I | VICE PRESIDENT AND CFO | NA | |
| HOGAN, MICHAEL, F | I | CCO, VICE PRESIDENT | NA | Control |
| HUGGINS, GEOFFREY, OWEN | I | SVP AND CONTROLLER | NA | |
| HUGGINS, GEOFFREY, OWEN | I | SVP AND CONTROLLER | NA | |
| HUGGINS, GEOFFREY, OWEN | I | SVP AND CONTROLLER | NA | |
| HUGGINS, GEOFFREY, OWEN | I | SVP AND CONTROLLER | NA | |
| KAMPF, DENISE, LYNN | I | MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER | NA | |
| KAMPF, DENISE, LYNN | I | MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER | NA | |
| KAMPF, DENISE, LYNN | I | MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER | NA | |
| OLSON, BRYAN, L | I | PRESIDENT | NA | |
| OLSON, BRYAN, L | I | PRESIDENT | NA | |
| OLSON, BRYAN, L | I | PRESIDENT | NA | |
| OLSON, BRYAN, L | I | PRESIDENT | NA | |
| OLSON, BRYAN, L | I | PRESIDENT | NA | |
| OLSON, BRYAN, L | I | PRESIDENT | NA | |
| OLSON, BRYAN, L | I | PRESIDENT | NA | |
| OLSON, BRYAN, L | I | PRESIDENT | NA | |
| OLSON, BRYAN, L | I | PRESIDENT | NA | |
| OLSON, BRYAN, L | I | PRESIDENT | NA | |
| OLSON, BRYAN, L | I | PRESIDENT | NA | |
| OLSON, BRYAN, L | I | PRESIDENT | NA | |
| OLSON, BRYAN, L | I | PRESIDENT AND CEO | NA | |
| OLSON, BRYAN, L | I | PRESIDENT | NA | |
| OLSON, BRYAN, L | I | PRESIDENT | NA | |
| OLSON, BRYAN, L | I | PRESIDENT | NA | |
| OLSON, BRYAN, L | I | PRESIDENT | NA | |
| OLSON, BRYAN, L | I | PRESIDENT | NA | |
| OLSON, BRYAN, L | I | PRESIDENT | NA | |
| OLSON, BRYAN, L | I | PRESIDENT | NA | |
| OLSON, BRYAN, LARRY | I | PRESIDENT AND CEO | NA | |
| OLSON, BRYAN, LARRY | I | PRESIDENT AND CEO | NA | Control |
| OLSON, BRYAN, LARRY | I | PRESIDENT | NA | Control |
| OLSON, BRYAN, LARRY | I | PRESIDENT AND CEO | NA | Control |
| OLSON, BRYAN, LARRY | I | SENIOR VICE PRESIDENT AND DIRECTOR | NA | Control |
| OLSON, BRYAN, LARRY | I | SENIOR VICE PRESIDENT AND DIRECTOR | NA | Control |
| OLSON, BRYAN, LARRY | I | SENIOR VICE PRESIDENT AND DIRECTOR | NA | Control |
| PHILLIPS, ROBERT | I | SENIOR VICE PRESIDENT, RESEARCH | NA | |
| PHILLIPS, ROBERT | I | SENIOR VICE PRESIDENT, RESEARCH | NA | |
| PHILLIPS, ROBERT | I | SENIOR VICE PRESIDENT, RESEARCH | NA | |
| PHILLIPS, ROBERT | I | SENIOR VICE PRESIDENT, RESEARCH | NA | |
| QUINN, WILLIAM, F | I | SVP AND TREASURER | NA | |
| QUINN, WILLIAM, F | I | SVP AND TREASURER | NA | |
| QUINN, WILLIAM, F | I | SVP AND TREASURER | NA | |
| QUINN, WILLIAM, F | I | SVP AND TREASURER | NA | |
| QUINN, WILLIAM, F | I | SVP AND TREASURER | NA | |
| QUINN, WILLIAM, F | I | SVP AND TREASURER | NA | |
| QUINN, WILLIAM, F | I | SVP AND TREASURER | NA | |
| QUINN, WILLIAM, F | I | SVP AND TREASURER | NA | |
| QUINN, WILLIAM, F | I | SVP AND TREASURER | NA | |
| QUINN, WILLIAM, F | I | SVP AND TREASURER | NA | |
| QUINN, WILLIAM, F | I | SVP AND TREASURER | NA | |
| QUINN, WILLIAM, F | I | SVP AND TREASURER | NA | |
| QUINN, WILLIAM, F | I | SVP AND TREASURER | NA | |
| QUINN, WILLIAM, F | I | SVP AND TREASURER | NA | |
| QUINN, WILLIAM, F | I | SVP AND TREASURER | NA | |
| QUINN, WILLIAM, F | I | SVP AND TREASURER | NA | |
| QUINN, WILLIAM, F | I | SVP AND TREASURER | NA | |
| QUINN, WILLIAM, F | I | SVP AND TREASURER | NA | |
| QUINN, WILLIAM, F | I | SVP AND TREASURER | NA | |
| QUINN, WILLIAM, F | I | SVP AND TREASURER | NA | |
| QUINN, WILLIAM, F | I | SVP AND TREASURER | NA | |
| QUINN, WILLIAM, F | I | SVP AND TREASURER | NA | |
| QUINN, WILLIAM, F | I | SVP AND TREASURER | NA | |
| QUINN, WILLIAM, F | I | SVP AND TREASURER | NA | |
| QUINN, WILLIAM, F | I | TREASURER AND DIRECTOR | NA | |
| QUINN, WILLIAM, F | I | TREASURER AND DIRECTOR | NA | |
| QUINN, WILLIAM, F | I | TREASURER AND DIRECTOR | NA | |
| SONDERS, LIZ ANN | I | SVP AND CHAIR OF INVESTMENT COMMITTEE | NA | |
| SONDERS, LIZ ANN | I | SVP AND CHAIR OF INVESTMENT COMMITTEE | NA | |
| SONDERS, LIZ ANN | I | SVP AND CHAIR OF INVESTMENT COMMITTEE | NA | |
| SONDERS, LIZ ANN | I | SVP AND CHAIR OF INVESTMENT COMMITTEE | NA | Control |
| SONDERS, LIZ ANN | I | SVP AND CHAIR OF INVESTMENT COMMITTEE | NA | Control |
| WURSTER, RICHARD, A | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| WURSTER, RICHARD, A | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| WURSTER, RICHARD, A | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| WURSTER, RICHARD, A | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SCHWAB HOLDINGS, INC. | DE | 100% OWNER | E | Control |
| SCHWAB HOLDINGS, INC. | DE | 100% OWNER | E | Control |
| SCHWAB HOLDINGS, INC. | DE | 100% OWNER | E | Control |
| SCHWAB HOLDINGS, INC. | DE | 100% OWNER | E | Control |
| SCHWAB HOLDINGS, INC. | DE | 100% OWNER | E | Control |
| SCHWAB HOLDINGS, INC. | DE | 100% OWNER | E | Control |
| SCHWAB HOLDINGS, INC. | DE | 100% OWNER | E | Control |
| SCHWAB HOLDINGS, INC. | DE | 100% OWNER | E | Control |
| SCHWAB HOLDINGS, INC. | DE | 100% OWNER | E | Control |
| SCHWAB HOLDINGS, INC. | DE | 100% OWNER | E | Control |
| SCHWAB HOLDINGS, INC. | DE | 100% OWNER | E | Control |
| SCHWAB HOLDINGS, INC. | DE | 100% OWNER | E | Control |
| SCHWAB HOLDINGS, INC. | DE | 100% OWNER | E | Control |
| SCHWAB HOLDINGS, INC. | DE | 100% OWNER | E | Control |
| SCHWAB HOLDINGS, INC. | DE | 100% OWNER | E | Control |
| SCHWAB HOLDINGS, INC. | DE | 100% OWNER | E | Control |
| SCHWAB HOLDINGS, INC. | DE | 100% OWNER | E | Control |
| SCHWAB HOLDINGS, INC. | DE | 100% OWNER | E | Control |
| SCHWAB HOLDINGS, INC. | DE | 100% OWNER | E | Control |
| SCHWAB HOLDINGS, INC. | DE | 100% OWNER | E | Control |
| SCHWAB HOLDINGS, INC. | DE | 100% OWNER | E | Control |
| SCHWAB HOLDINGS, INC. | DE | 100% OWNER | E | Control |
| SCHWAB HOLDINGS, INC. | DE | 100% OWNER | E | Control |
| SCHWAB HOLDINGS, INC. | DE | 100% OWNER | E | Control |
| SCHWAB HOLDINGS, INC. | DE | 100% OWNER | E | Control |
| SCHWAB HOLDINGS, INC. | DE | 100% OWNER | E | Control |
| SCHWAB HOLDINGS, INC. | DE | 100% OWNER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| THE CHARLES SCHWAB CORPORATION | DE | SCHWAB HOLDINGS, INC. | E | Control |
| THE CHARLES SCHWAB CORPORATION | DE | SCHWAB HOLDINGS, INC. | E | Control |
| THE CHARLES SCHWAB CORPORATION | DE | SCHWAB HOLDINGS, INC. | E | Control |
| THE CHARLES SCHWAB CORPORATION | DE | SCHWAB HOLDINGS, INC. | E | Control |
| THE CHARLES SCHWAB CORPORATION | DE | SCHWAB HOLDINGS, INC. | E | Control |
| THE CHARLES SCHWAB CORPORATION | DE | SCHWAB HOLDINGS, INC. | E | Control |
| THE CHARLES SCHWAB CORPORATION | DE | SCHWAB HOLDINGS, INC. | E | Control |
Registrations
Federal
IA
Feb 15, 2018 REGISTERED
Notice Filings (52)
AK AL AR AZ CA CO CT DC DE FL GA HI IA ID IL IN KS KY LA MA MD ME MI MN MO MS MT NC ND NE NH NJ NM NV NY OH OK OR PA PR RI SC SD TN TX UT VA VI VT WA WI WV
Address
ONE INTERNATIONAL PLACE33RD FLOOR
BOSTON, MA 02110
United States
Phone: (617) 960-5300