OPEN WINDOW FINANCIAL SOLUTIONS, LTD.
SEC RegisteredAn inter-generational commitment to objective, transparent advice.
About the firm
Open Window Financial Services is a fee-only advisory firm that provides objective, tax-efficient, and comprehensive financial planning. The firm describes itself as a family business committed to putting client interests first, offering customized advice and investment guidance for a transparent, reasonable cost.
Firm Focus
Client segments reported on the firm's SEC Form ADV — applies to all advisors at the firm.
Areas of expertise
Services
Comprehensive financial planning including retirement planning, tax-efficient investing and withdrawal strategies, asset allocation, debt reduction strategies, education funding, insurance analysis, Social Security and Medicare claiming strategies, qualified plan and tax-favored account optimization, charitable giving planning, estate planning, and investment management focused on lowering costs and taxes while maintaining appropriate asset allocation.
Who they serve
High earners and good savers, medical professionals (doctors, dentists, and other healthcare professionals), established families and individuals, exceptional young professionals, and managers of retirement plans, trusts, and foundations.
| Client segment | Clients | Assets managed |
|---|---|---|
| Individuals (Non-HNW) | 26 | $16M |
| High Net Worth Individuals | 65 | $236M |
| Charitable Organizations | 10 | $32M |
0 total clients reported on Form ADV.
Leadership
Office locations
Advisors at this firm
3 advisors in the directory
Regulatory & compliance
| Asset tier | Annual rate |
|---|---|
| Up to $500,000 | 1.75% |
| $500,001 to $750,000 | 1.50% |
| $750,001 to $1,000,000 | 1.25% |
| $1,000,001 to $3,000,000 | 1.00% |
| $3,000,001 to $5,000,000 | 0.90% |
| $5,000,001 to $10,000,000 | 0.80% |
| $10,000,001 to $15,000,000 | 0.70% |
| $15,000,001 to $25,000,000 | 0.60% |
| $25,000,001 and Above | 0.50% |
Data as of March 17, 2026 · Source: SEC IAPD & FINRA BrokerCheck
Contact Information
This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. OPEN WINDOW FINANCIAL SOLUTIONS, LTD. has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on the SEC or FINRA websites before making any decision.
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