AdvisorCensus / Financial advisors / Washington / Bellingham / Tradewinds Capital Management, LLC
Tradewinds Capital Management, LLC is an SEC-registered investment advisory firm in Bellingham, WA, registered since 2008, reporting $500 million to $1 billion in regulatory assets under management in its Form ADV filing dated August 19, 2026.
Quick answers
From the filingHow is Tradewinds Capital Management, LLC compensated?
On its Form ADV (Item 5.E, October 2026), Tradewinds Capital Management, LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees).
How much does Tradewinds Capital Management, LLC charge?
Its Form ADV Part 2A brochure dated August 19, 2026 states: Flat fee: $1,000 to $2,000 (financial planning and/or consulting services (including investment and non- investment related matters, including estat); Hourly rate: $150 to $225 an hour (financial planning and/or consulting services (including investment and non- investment related matters, including estat). Fees can differ by service and may be negotiable; the brochure is the complete statement.
Where is Tradewinds Capital Management, LLC located?
Tradewinds Capital Management, LLC's principal office is in Bellingham, WA, according to its Form ADV.
Is Tradewinds Capital Management, LLC registered with the SEC or a state?
Tradewinds Capital Management, LLC is an SEC-registered investment advisory firm, registered since 2008. Status as filed: Approved. CRD 145934.
How much does Tradewinds Capital Management, LLC manage?
Tradewinds Capital Management, LLC reports $727,324,070 in regulatory assets under management in its Form ADV filing dated August 19, 2026 (100% discretionary).
How have Tradewinds Capital Management, LLC's assets and staff changed since 2021?
In the Form ADV data for Tradewinds Capital Management, LLC: Regulatory assets under management: $1,009,631,757 in the October 2021 data and $727,324,070 in the October 2026 data, down 28%. Total employees: 12 in October 2021 and 10 in October 2026. Assets under management move with markets as well as with clients coming and going.
What types of clients does Tradewinds Capital Management, LLC serve?
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (2,028); high net worth individuals (196); corporations or other businesses not listed above (9).
Which custodians does Tradewinds Capital Management, LLC use?
Tradewinds Capital Management, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets.
Does Tradewinds Capital Management, LLC report any disciplinary disclosures?
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/145934
What changed in Tradewinds Capital Management, LLC's recent Form ADV filings?
In the April 2026 filing data: Regulatory assets under management went from $602,785,057 to $727,324,070 (+21%). Registered or notice-filed in MT. Updated its list of owners and control persons (Schedule A).
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Fees and minimums
Form ADV Part 2AThe brochure lists different fees for different services or strategies; see the brochure for them.
Flat fee: $1,000 to $2,000 (financial planning and/or consulting services (including investment and non- investment related matters, including estat)
The brochure's wording
Registrant’s planning and consulting fees are negotiable, but generally range from $1,000 to $2,000 on a fixed fee basis
Hourly rate: $150 to $225 an hour (financial planning and/or consulting services (including investment and non- investment related matters, including estat)
The brochure's wording
from $150 to $225 on an hourly rate basis, depending upon the level and scope of the service(s) required and the professional(s) rendering the service(s).
As stated in the firm's Form ADV Part 2A brochure dated August 19, 2026. Fees can differ by service and may be negotiable; the brochure is the complete statement. Read the brochure on the SEC's IAPD site
Regulatory assets under management
Item 5.F$727,324,070 as of October 2026, filing dated August 19, 2026.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
Registration and firm details
Items 1, 2, 5- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 2008 (18 years)
- Employees
- Total: 10. Performing investment advisory functions: 7.
- Wrap fee program participation
- No.
- Custodians (Schedule D, Section 5.K(3))
-
Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.
- States registered or notice-filed
-
12 states or jurisdictions
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Assets and staff over time
Items 5.A, 5.F| Data period | Assets under management | Employees | Filing dated |
|---|---|---|---|
| October 2026 | $727,324,070 | 10 | August 19, 2026 |
| October 2025 | $602,785,057 | 10 | April 7, 2025 |
| October 2024 | $523,698,592 | 10 | September 30, 2024 |
| October 2023 | $515,039,229 | 7 | August 8, 2023 |
| October 2022 | $492,913,967 | 6 | May 2, 2022 |
| October 2021 | $1,009,631,757 | 12 | October 1, 2021 |
Regulatory assets under management: $1,009,631,757 in the October 2021 data and $727,324,070 in the October 2026 data, down 28%.
Total employees: 12 in October 2021 and 10 in October 2026.
As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.
Changes in the filing
Last 12 months- April 2026
- Regulatory assets under management went from $602,785,057 to $727,324,070 (+21%).
- Registered or notice-filed in MT.
- Updated its list of owners and control persons (Schedule A).
- January 2026
- No longer registered or notice-filed in TN, WI.
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.ISource: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. Tradewinds Capital Management, LLC (CRD 145934): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/tradewinds-capital-management-llc-bellingham-wa-145934