TRADEWINDS WEALTH MANAGEMENT
TRADEWINDS ASSET MANAGEMENT, LLC Legal Name
Adviser information for TRADEWINDS WEALTH MANAGEMENT last updated from Form ADV on March 20th, 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 | Delaware, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 4 |
| Licensed Agents of an Insurance Company | 4 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 261 | $131.6M |
| Non-Discretionary | 0 | $0 |
| Total | 261 | $131.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 235 | $83.6M |
| HNW Individuals | 25 | $40.5M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 1 | $7.5M |
| Pension and profit sharing plans | 0 | $0 |
| 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 | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 1 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 251-500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-127142 |
|---|---|
| SEC ERA File Number | 801-127142 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 323879 |
| Legal Entity Identifier | None |
Principal Office
5550 S MACADAM AVESTE 110
PORTLAND
OR
United States
Monday - Friday, 8-5
Tel: 503-673-2828, Fax: None
Chief Compliance Officer
PAUL SPANGLER
OPERATIONS DIRECTOR AND CCO
5550 S MACADAM AVE
SUITE 110
POORTLAND
OR
United States
Tel:
5036732828
P***@***************M
(Full email address available in API data)
Industry Affiliates
| AEOLUS ASSET MANAGEMENT, LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| AEOLUS HEDGED EQUITY FUND, LP | Hedge Fund | $7.5M | $0.5M | 26 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| D'URSO, CHRISTIAN, SAMUEL | Individual | – | PRINCIPAL | 12/2022 | > 75% |
| Spangler, James, Paul | Individual | – | CHIEF COMPLIANCE OFFICER | 12/2022 | < 5% |