{ "crd_number": 146957, "slug": "eastwind-capital-wealth-management-westerville-oh-146957", "primary_business_name": "EASTWIND CAPITAL WEALTH MANAGEMENT", "legal_name": "EASTWIND CAPITAL, LLC", "dbas": [], "city": "Westerville", "state": "OH", "country": "United States", "cbsa_code": "18140", "metro": { "cbsa_code": "18140", "common_name": "Columbus", "msa_name": "Columbus, OH", "path": "/advisors/oh/columbus" }, "registration_type": "state", "registration_status": "APPROVED", "registration_date": "2012-07-17", "years_registered": 14, "period": "2026-10-01", "filing_date": "2026-02-03", "carried_forward": false, "raum_total": 94521521.0, "raum_discretionary": 94521521.0, "raum_non_discretionary": 0.0, "raum_band": "25m_100m", "raum_band_label": "$25 million to $100 million", "total_employees": 3, "advisory_employees": 3, "client_count_bucket": null, "clients_by_type": { "charitable": { "raum": 2822683.0, "count": 1 }, "individuals": { "raum": 58064026.0, "count": 307 }, "high_net_worth_individuals": { "raum": 33634812.0, "count": 16 } }, "compensation_types": [ "hourly", "percentage_of_aum" ], "advisory_activities": [ "other", "portfolio_management_individuals" ], "wrap_fee_participant": false, "disclosure_yes_count": 3, "states_registered": [ "FL", "LA", "OH", "PA" ], "websites": [ "https://epp.cc", "https://ewcwm.com", "https://facebook.com/EASTWIND-CAPITAL-WEALTH-MANAGMENT-1358799154166721", "https://linkedin.com/COMPANY/EASTWINDCAPITALWEALTHMANAGEMENT/ABOUT" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/146957", "disclosure_items": [ { "item": "11.D(1)", "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?" }, { "item": "11.D(2)", "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?" }, { "item": "11.D(4)", "question": "In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?" } ], "city_as_filed": "WESTERVILLE", "url": "https://advisorcensus.com/firm/eastwind-capital-wealth-management-westerville-oh-146957", "display_name": "Eastwind Capital Wealth Management", "summary": "Eastwind Capital Wealth Management is a state-registered investment advisory firm in Westerville, OH, registered since 2012, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated February 3, 2026.", "citation": "AdvisorCensus. Eastwind Capital Wealth Management (CRD 146957): Form ADV filing data as of October 2026.", "registration_type_label": "State-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Hourly charges" ], "advisory_activity_labels": [ "Portfolio management for individuals and/or small businesses", "Other" ], "quick_answers": [ { "q": "How is Eastwind Capital Wealth Management compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Eastwind Capital Wealth Management reports these compensation arrangements: a percentage of assets under its management; hourly charges. The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Where is Eastwind Capital Wealth Management located?", "a": "Eastwind Capital Wealth Management's principal office is in Westerville, OH, according to its Form ADV." }, { "q": "Is Eastwind Capital Wealth Management registered with the SEC or a state?", "a": "Eastwind Capital Wealth Management is a state-registered investment advisory firm, registered since 2012. Status as filed: APPROVED. CRD 146957." }, { "q": "How much does Eastwind Capital Wealth Management manage?", "a": "Eastwind Capital Wealth Management reports $94,521,521 in regulatory assets under management in its Form ADV filing dated February 3, 2026 (100% discretionary)." }, { "q": "What types of clients does Eastwind Capital Wealth Management serve?", "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (307); high net worth individuals (16); charitable organizations (1)." }, { "q": "Does Eastwind Capital Wealth Management report any disciplinary disclosures?", "a": "Reports 3 disclosure items on Form ADV Item 11: yes answers to 11.D(1) (another regulator's finding of a false statement or omission, or of dishonest, unfair, or unethical conduct), 11.D(2) (another regulator's finding of a violation), and 11.D(4) (another regulator's order in the past ten years). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/146957" } ], "filing_history": [], "recent_changes": [], "fees_from_brochure": null, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/eastwind-capital-wealth-management-westerville-oh-146957.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 307, "fewer_than_5": false, "raum": 58064026.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 16, "fewer_than_5": false, "raum": 33634812.0 }, { "type": "charitable", "label": "Charitable organizations", "count": 1, "fewer_than_5": false, "raum": 2822683.0 } ], "disclosure_line": "Reports 3 disclosure items on Form ADV Item 11.", "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/146957", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }