Eric A. Winterhalter

TRAN CAPITAL MANAGEMENT, L.P.

San Rafael, CA 94901

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CRD#: 2264641

Professional summary

Eric Arthur Winterhalter is a registered financial advisor currently at TRAN CAPITAL MANAGEMENT, L.P. located in San Rafael, California and FORESIDE FUNDS DISTRIBUTORS LLC located in Portland, Maine.

Eric is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Eric has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 6, Series 7 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Tran Capital Management; Investment Related; Registered Investment Advisor; Scottsdale, AZ; 2/1/2014; Managing Partner; President & Co-Founder; 160 Hrs./Mo. 160 Hrs./Mo. Trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric Arthur Winterhalter's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 26, 2015 - Present

TRAN CAPITAL MANAGEMENT, L.P.

Office #1: 1000 4th St Suite 800, San Rafael, CA 94901

RIA

CRD#: 107049

San Rafael, CA

Current

July 15, 2014 - Present

FORESIDE FUNDS DISTRIBUTORS LLC

Office #1: 190 Middle Street Suite 301, Portland, ME 04101

CRD#: 31334

Portland, ME

Past

August 22, 2003 - August 14, 2006

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

SAN FRANCISCO, CA

Past

October 28, 1993 - June 30, 2003

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

CRD#: 7325

BOSTON, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

TRAN CAPITAL MANAGEMENT, L.P.

LATEEF INVESTMENT MANAGEMENT, LP. | TRAN CAPITAL MANAGEMENT, L.P. | LATEEF MANAGEMENT ASSOCIATES

CRD#: 107049 / SEC#: 801-9747

RIA

Registered Investment Advisory firm - (2/16/1974 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(1/2/2015)

Alaska
(1/2/2015)

Arizona
(1/2/2015)

Arkansas
(1/2/2015)

California
(10/31/2014)

IAR

California
(2/26/2015)

Colorado
(1/2/2015)

Connecticut
(1/2/2015)

Delaware
(1/2/2015)

District of Columbia
(1/2/2015)

Florida
(1/2/2015)

Georgia
(1/2/2015)

Hawaii
(1/2/2015)

Idaho
(1/2/2015)

Illinois
(1/2/2015)

Indiana
(1/2/2015)

Iowa
(1/2/2015)

Kansas
(1/2/2015)

Kentucky
(1/2/2015)

Louisiana
(1/2/2015)

Maine
(1/2/2015)

Maryland
(1/2/2015)

Massachusetts
(10/31/2014)

Michigan
(1/2/2015)

Minnesota
(10/31/2014)

Mississippi
(1/2/2015)

Missouri
(1/2/2015)

Montana
(1/2/2015)

Nebraska
(1/2/2015)

Nevada
(1/2/2015)

New Hampshire
(10/31/2014)

New Jersey
(1/2/2015)

New Mexico
(1/2/2015)

New York
(1/2/2015)

North Carolina
(10/31/2014)

North Dakota
(1/2/2015)

Ohio
(1/2/2015)

Oklahoma
(1/2/2015)

Oregon
(1/2/2015)

Pennsylvania
(1/2/2015)

Rhode Island
(1/2/2015)

South Carolina
(1/2/2015)

South Dakota
(1/2/2015)

Texas
(1/2/2015)

Utah
(1/2/2015)

Vermont
(1/2/2015)

Virginia
(1/2/2015)

Washington
(1/2/2015)

West Virginia
(1/2/2015)

Wisconsin
(1/2/2015)

Wyoming
(1/2/2015)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/26/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/30/2014

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 7/15/2014

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 7

Date: 8/21/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 26

Date: 5/18/2018

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

TRAN CAPITAL MANAGEMENT, L.P.

LATEEF INVESTMENT MANAGEMENT, LP. | TRAN CAPITAL MANAGEMENT, L.P. | LATEEF MANAGEMENT ASSOCIATES

CRD#: 107049 / SEC#: 801-9747

RIA

Registered Investment Advisory firm - (2/16/1974 Approved)

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Contact information

Main Address

1000 4th St Suite 800, San Rafael, CA 94901

Mailing Address

Phone number

(415) 461-3800

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TRAN CAPITAL ADV 2A (3/27/2025)

Regulatory assets under management

Total Number of Accounts	329
AUM (Assets Under Management)	$ 958,743,001

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Eric A. Winterhalter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric Arthur Winterhalter's CRS (Customer Relationship Summary).

Certified licenses

Experience

FORESIDE FUNDS DISTRIBUTORS LLC

FIDELITY DISTRIBUTORS COMPANY LLC

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

Primary Firm SEC Registration

TRAN CAPITAL MANAGEMENT, L.P.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/26/2015

Series 63

Date: 10/30/2014

SIE

Date: 10/1/2018

Series 6

Date: 7/15/2014

Series 7

Date: 8/21/1992

Series 26

Date: 5/18/2018

FINRA

Current Firm

TRAN CAPITAL MANAGEMENT, L.P.

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TRAN CAPITAL MANAGEMENT, L.P.

TRUST BUT VERIFY

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