TRADEWINDS, LLC
Adviser information for TRADEWINDS, LLC last updated from Form ADV on March 25th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | North Carolina, United States |
Employees
| Total Number of Employees | 8 |
|---|---|
| Investment Advisory/Research | 6 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 6 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,014 | $293.9M |
| Non-Discretionary | 0 | $0 |
| Total | 1,014 | $293.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 175 | $56.7M |
| HNW Individuals | 104 | $234.4M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $1.2M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $1.6M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 51-100 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMFixed fees |
Principal Office
4600 MARRIOTT DR.SUITE 200
RALEIGH
NC
United States
Monday - Friday, 8AM - 5PM
Tel: 919-571-2833, Fax: 919-322-2330
Chief Compliance Officer
IAN MEIKSINS
36 W PIKE ST.
COVINGTON
KY
United States
Tel:
2027536940
I********@**********************M
(Full email address available in API data)
Regulatory Contact
TIMOTHY WHITNEY
CEO
4600 MARRIOTT DR.
SUITE 100
RALEIGH
NC
United States
Tel:
9842570019
T**************@****************L
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| Meiksins, Ian, Disbrow | Individual | – | CHIEF COMPLIANCE OFFICER | 10/2021 | < 5% |
| WHITNEY, TIMOTHY, M. | Individual | – | PRESIDENT | 10/2021 | > 75% |
| WILLIAMS, STEPHANIE, ROSS | Individual | – | PRESIDENT | 05/2023 | < 5% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed August 14th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| ABBVIE INC | COM | 2M | 11K | – |
| AFLAC INC | COM | 436K | 5K | – |
| AT&T INC | COM | 696K | 36K | – |
| ABBOTT LABS | COM | 722K | 7K | – |
| ACCENTURE PLC IRELAND | SHS CLASS A | 286K | 943 | – |
| ADVANCED MICRO DEVICES INC | COM | 2M | 13K | – |
| ALLIANCEBERNSTEIN NATL MUN I | COM | 146K | 13K | – |
| ALPHABET INC | CAP STK CL A | 3M | 18K | – |
| ALPHABET INC | CAP STK CL C | 7M | 41K | – |
| ALTRIA GROUP INC | COM | 392K | 9K | – |
| AMAZON COM INC | COM | 11M | 55K | – |
| AMCOR PLC | ORD | 208K | 21K | – |
| AMERICAN ELEC PWR CO INC | COM | 726K | 8K | – |
| AMERICAN TOWER CORP NEW | COM | 275K | 1K | – |
| AMGEN INC | COM | 786K | 3K | – |
| ANALOG DEVICES INC | COM | 270K | 1K | – |
| APPLE INC | COM | 17M | 79K | – |
| APPLIED MATLS INC | COM | 305K | 1K | – |
| AUTOMATIC DATA PROCESSING IN | COM | 705K | 3K | – |
| BP PLC | SPONSORED ADR | 229K | 6K | – |
| BANK AMERICA CORP | COM | 983K | 25K | – |
| BANK NEW YORK MELLON CORP | COM | 439K | 7K | – |
| BERKSHIRE HATHAWAY INC DEL | CL B NEW | 7M | 18K | – |
| BIOGEN INC | COM | 261K | 1K | – |
| BLACKROCK INC | COM | 505K | 641 | – |
| BLACKSTONE INC | COM | 337K | 3K | – |
| BLOCK H & R INC | COM | 465K | 9K | – |
| BRISTOL-MYERS SQUIBB CO | COM | 205K | 5K | – |
| CSX CORP | COM | 663K | 20K | – |
| CANADIAN PACIFIC KANSAS CITY | COM | 276K | 4K | – |
| CATERPILLAR INC | COM | 3M | 8K | – |
| CHEVRON CORP NEW | COM | 2M | 13K | – |
| CIENA CORP | COM NEW | 332K | 7K | – |
| CISCO SYS INC | COM | 856K | 18K | – |
| CITIGROUP INC | COM NEW | 286K | 5K | – |
| CLEARBRIDGE MLP AND MIDSTRM | COM | 2M | 45K | – |
| COSTCO WHSL CORP NEW | COM | 797K | 938 | – |
| COCA COLA CO | COM | 909K | 14K | – |
| COLGATE PALMOLIVE CO | COM | 5M | 56K | – |
| COMCAST CORP NEW | CL A | 675K | 17K | – |
| CONOCOPHILLIPS | COM | 393K | 3K | – |
| CONSOLIDATED EDISON INC | COM | 233K | 3K | – |
| CONSTELLATION BRANDS INC | CL A | 243K | 945 | – |
| CORNING INC | COM | 221K | 6K | – |
| CORTEVA INC | COM | 272K | 5K | – |
| CROWDSTRIKE HLDGS INC | CL A | 1M | 3K | – |
| DEERE & CO | COM | 5M | 14K | – |
| DELL TECHNOLOGIES INC | CL C | 239K | 2K | – |
| DIAMONDBACK ENERGY INC | COM | 791K | 4K | – |
| DNP SELECT INCOME FD INC | COM | 357K | 43K | – |
| DOMINION ENERGY INC | COM | 1M | 23K | – |
| DOVER CORP | COM | 377K | 2K | – |
| DUKE ENERGY CORP NEW | COM NEW | 3M | 25K | – |
| EASTMAN CHEM CO | COM | 234K | 2K | – |
| EATON VANCE ENHANCED EQUITY | COM | 206K | 11K | – |
| EATON VANCE MUN BD FD | COM | 118K | 11K | – |
| EDISON INTL | COM | 252K | 4K | – |
| EMERSON ELEC CO | COM | 755K | 7K | – |
| ENBRIDGE INC | COM | 387K | 11K | – |
| ENTERPRISE PRODS PARTNERS L | COM | 259K | 9K | – |
| EOG RES INC | COM | 468K | 4K | – |
| EXXON MOBIL CORP | COM | 3M | 22K | – |
| META PLATFORMS INC | CL A | 377K | 748 | – |
| F N B CORP | COM | 1M | 94K | – |
| FIRST CTZNS BANCSHARES INC N | CL A | 4M | 2K | – |
| FIRST TR EXCHANGE TRADED FD | CLOUD COMPUTING | 300K | 3K | – |
| FIRST TR NASDAQ 100 TECH IND | SHS | 412K | 2K | – |
| FISERV INC | COM | 218K | 1K | – |
| FULLER H B CO | COM | 400K | 5K | – |
| GENERAL DYNAMICS CORP | COM | 6M | 19K | – |
| GE AEROSPACE | COM NEW | 460K | 3K | – |
| GENERAL MTRS CO | COM | 251K | 5K | – |
| GENUINE PARTS CO | COM | 328K | 2K | – |
| GILEAD SCIENCES INC | COM | 375K | 5K | – |
| GSK PLC | SPONSORED ADR | 230K | 6K | – |
| GLOBAL X FDS | RBTCS ARTFL INTE | 391K | 13K | – |
| GLOBAL X FDS | GLOBAL X COPPER | 955K | 21K | – |
| GOLDMAN SACHS ETF TR | ACCES TREASURY | 215K | 2K | – |
| GOLDMAN SACHS ETF TR | ACTIVEBETA US LG | 213K | 2K | – |
| THE CIGNA GROUP | COM | 5M | 14K | – |
| HERSHEY CO | COM | 354K | 2K | – |
| HOME DEPOT INC | COM | 636K | 2K | – |
| HONEYWELL INTL INC | COM | 6M | 26K | – |
| ISHARES TR | MSCI USA QLT FCT | 3M | 16K | – |
| ISHARES TR | CORE MSCI EAFE | 248K | 3K | – |
| ISHARES TR | CORE MSCI TOTAL | 240K | 4K | – |
| ISHARES TR | MSCI USA MIN VOL | 703K | 8K | – |
| ISHARES TR | CORE S&P TTL STK | 259K | 2K | – |
| ISHARES TR | CORE S&P MCP ETF | 451K | 8K | – |
| ISHARES TR | CORE S&P500 ETF | 2M | 4K | – |
| ISHARES TR | RUSSELL 2000 ETF | 465K | 2K | – |
| ISHARES TR | RUS 1000 GRW ETF | 318K | 873 | – |
| ISHARES TR | S&P 500 VAL ETF | 291K | 2K | – |
| ISHARES TR | S&P 500 GRWT ETF | 371K | 4K | – |
| ISHARES TR | US OIL GS EX ETF | 2M | 20K | – |
| ISHARES TR | IBOXX INV CP ETF | 951K | 9K | – |
| ILLINOIS TOOL WKS INC | COM | 5M | 20K | – |
| INTEL CORP | COM | 515K | 17K | – |
| INTERNATIONAL BUSINESS MACHS | COM | 1M | 6K | – |
| INTUIT | COM | 571K | 868 | – |
| INVESCO VALUE MUN INCOME TR | COM | 205K | 17K | – |
| INVESCO EXCHANGE TRADED FD T | S&P500 EQL WGT | 336K | 2K | – |
| IRON MTN INC DEL | COM | 396K | 4K | – |
| ISHARES TR | MSCI USA MMENTM | 2M | 8K | – |
| ISHARES TR | MSCI EMG MKT ETF | 396K | 9K | – |
| ISHARES TR | CORE US AGGBD ET | 1M | 12K | – |
| JOHNSON & JOHNSON | COM | 3M | 19K | – |
| J P MORGAN EXCHANGE TRADED F | EQUITY PREMIUM | 576K | 10K | – |
| KENVUE INC | COM | 203K | 11K | – |
| KIMBERLY-CLARK CORP | COM | 572K | 4K | – |
| LEIDOS HOLDINGS INC | COM | 292K | 2K | – |
| ELI LILLY & CO | COM | 5M | 6K | – |
| LOCKHEED MARTIN CORP | COM | 591K | 1K | – |
| LOWES COS INC | COM | 613K | 3K | – |
| MFS MULTIMARKET INCOME TR | SH BEN INT | 98K | 21K | – |
| L3HARRIS TECHNOLOGIES INC | COM | 307K | 1K | – |
| MARATHON PETE CORP | COM | 981K | 6K | – |
| MARSH & MCLENNAN COS INC | COM | 438K | 2K | – |
| MARVELL TECHNOLOGY INC | COM | 817K | 12K | – |
| MCDONALDS CORP | COM | 1M | 5K | – |
| MERCK & CO INC | COM | 2M | 16K | – |
| MICRON TECHNOLOGY INC | COM | 2M | 17K | – |
| MICROSOFT CORP | COM | 17M | 39K | – |
| J P MORGAN EXCHANGE TRADED F | ULTRA SHRT INC | 4M | 79K | – |
| JPMORGAN CHASE & CO. | COM | 8M | 40K | – |
| MORGAN STANLEY | COM NEW | 5M | 55K | – |
| NVIDIA CORPORATION | COM | 20M | 162K | – |
| LINDE PLC | SHS | 235K | 535 | – |
| NEXTERA ENERGY INC | COM | 873K | 12K | – |
| NORFOLK SOUTHN CORP | COM | 283K | 1K | – |
| NORTHROP GRUMMAN CORP | COM | 227K | 520 | – |
| NOVO-NORDISK A S | ADR | 478K | 3K | – |
| NUVEEN AMT FREE QLTY MUN INC | COM | 140K | 12K | – |
| ONEOK INC NEW | COM | 515K | 6K | – |
| ORACLE CORP | COM | 204K | 1K | – |
| PGIM ETF TR | PGIM ULTRA SH BD | 202K | 4K | – |
| PPG INDS INC | COM | 444K | 4K | – |
| PALO ALTO NETWORKS INC | COM | 775K | 2K | – |
| NUVEEN MUNICIPAL CREDIT INC | COM SH BEN INT | 152K | 12K | – |
| BROADCOM INC | COM | 1M | 903 | – |
| PEPSICO INC | COM | 6M | 38K | – |
| PFIZER INC | COM | 362K | 13K | – |
| PHILIP MORRIS INTL INC | COM | 584K | 6K | – |
| PHILLIPS 66 | COM | 851K | 6K | – |
| INVESCO EXCHANGE TRADED FD T | S&P500 EQL MAT | 205K | 6K | – |
| INVESCO EXCHANGE TRADED FD T | S&P500 PUR GWT | 229K | 6K | – |
| INVESCO EXCHANGE TRADED FD T | S&P MDCP400 PR | 232K | 5K | – |
| PROCTER AND GAMBLE CO | COM | 9M | 52K | – |
| PRUDENTIAL FINL INC | COM | 219K | 2K | – |
| QUALCOMM INC | COM | 471K | 2K | – |
| QUEST DIAGNOSTICS INC | COM | 210K | 2K | – |
| RTX CORPORATION | COM | 622K | 6K | – |
| REGENERON PHARMACEUTICALS | COM | 286K | 272 | – |
| REPUBLIC SVCS INC | COM | 5M | 27K | – |
| ROCKWELL AUTOMATION INC | COM | 5M | 17K | – |
| ROYAL BK CDA | COM | 951K | 9K | – |
| SL GREEN RLTY CORP | COM | 241K | 4K | – |
| ALPS ETF TR | ALERIAN MLP | 2M | 44K | – |
| SELECT SECTOR SPDR TR | ENERGY | 3M | 33K | – |
| SOUTHERN CO | COM | 901K | 12K | – |
| SPDR SER TR | S&P SEMICNDCTR | 458K | 2K | – |
| SPDR SER TR | S&P HOMEBUILD | 446K | 4K | – |
| SPDR SER TR | S&P INS ETF | 248K | 5K | – |
| STARWOOD PPTY TR INC | COM | 411K | 22K | – |
| STARBUCKS CORP | COM | 618K | 8K | – |
| UNDER ARMOUR INC | CL C | 167K | 26K | – |
| SPDR SER TR | S&P METALS MNG | 5M | 89K | – |
| STRYKER CORPORATION | COM | 211K | 620 | – |
| SYSCO CORP | COM | 295K | 4K | – |
| TAIWAN SEMICONDUCTOR MFG LTD | SPONSORED ADS | 232K | 1K | – |
| TARGET CORP | COM | 503K | 3K | – |
| TEXAS INSTRS INC | COM | 237K | 1K | – |
| 3M CO | COM | 241K | 2K | – |
| TRAVELERS COMPANIES INC | COM | 845K | 4K | – |
| ULTA BEAUTY INC | COM | 1M | 4K | – |
| UNION PAC CORP | COM | 576K | 3K | – |
| TRUIST FINL CORP | COM | 2M | 44K | – |
| UNITED PARCEL SERVICE INC | CL B | 603K | 4K | – |
| UNITEDHEALTH GROUP INC | COM | 7M | 14K | – |
| VALERO ENERGY CORP | COM | 378K | 2K | – |
| VANECK ETF TRUST | SEMICONDUCTR ETF | 1M | 5K | – |
| VANGUARD MALVERN FDS | STRM INFPROIDX | 2M | 36K | – |
| VANGUARD ADMIRAL FDS INC | 500 GRTH IDX F | 510K | 2K | – |
| VANGUARD STAR FDS | VG TL INTL STK F | 576K | 10K | – |
| VANGUARD BD INDEX FDS | TOTAL BND MRKT | 1M | 20K | – |
| VANGUARD WORLD FD | CONSUM DIS ETF | 1M | 4K | – |
| VANGUARD SPECIALIZED FUNDS | DIV APP ETF | 2M | 9K | – |
| VANGUARD WORLD FD | INDUSTRIAL ETF | 290K | 1K | – |
| VANGUARD WORLD FD | HEALTH CAR ETF | 959K | 4K | – |
| VANGUARD WORLD FD | INF TECH ETF | 4M | 7K | – |
| VANGUARD INTL EQUITY INDEX F | FTSE EMR MKT ETF | 236K | 5K | – |
| VANGUARD INDEX FDS | MID CAP ETF | 361K | 1K | – |
| VANGUARD INDEX FDS | SM CP VAL ETF | 697K | 4K | – |
| VANGUARD INDEX FDS | EXTEND MKT ETF | 678K | 4K | – |
| VANGUARD INDEX FDS | LARGE CAP ETF | 628K | 3K | – |
| VANGUARD INDEX FDS | TOTAL STK MKT | 3M | 12K | – |
| VANGUARD INDEX FDS | VALUE ETF | 270K | 2K | – |
| VANGUARD INDEX FDS | GROWTH ETF | 2M | 5K | – |
| VANGUARD INDEX FDS | S&P 500 ETF SHS | 3M | 7K | – |
| VERIZON COMMUNICATIONS INC | COM | 847K | 21K | – |
| VANGUARD WHITEHALL FDS | HIGH DIV YLD | 1M | 10K | – |
| VANGUARD TAX-MANAGED FDS | VAN FTSE DEV MKT | 363K | 7K | – |
| VISA INC | COM CL A | 6M | 23K | – |
| WALMART INC | COM | 7M | 107K | – |
| WASTE MGMT INC DEL | COM | 827K | 4K | – |
| WELLS FARGO CO NEW | COM | 539K | 9K | – |
| WELLTOWER INC | COM | 932K | 9K | – |
| WESTERN ALLIANCE BANCORP | COM | 468K | 7K | – |
| WILLIAMS COS INC | COM | 235K | 6K | – |
| XCEL ENERGY INC | COM | 235K | 4K | – |