# Tradewinds, LLC

> Tradewinds, LLC is an SEC-registered investment advisory firm in Raleigh, NC, registered since 2021, reporting $500 million to $1 billion in regulatory assets under management in its Form ADV filing dated March 13, 2026.

- CRD: 316415
- Filed as: TRADEWINDS, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Raleigh, NC
- Filing period: October 2026
- Form ADV filing dated: March 13, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/316415
- AdvisorCensus page: https://advisorcensus.com/firm/tradewinds-llc-raleigh-nc-316415

## Quick answers

**How is Tradewinds, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Tradewinds, LLC reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees). The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is Tradewinds, LLC located?**
Tradewinds, LLC's principal office is in Raleigh, NC, according to its Form ADV.

**Is Tradewinds, LLC registered with the SEC or a state?**
Tradewinds, LLC is an SEC-registered investment advisory firm, registered since 2021. Status as filed: Approved. CRD 316415.

**How much does Tradewinds, LLC manage?**
Tradewinds, LLC reports $659,399,150 in regulatory assets under management in its Form ADV filing dated March 13, 2026 (100% discretionary).

**How have Tradewinds, LLC's assets and staff changed since 2022?**
In the Form ADV data for Tradewinds, LLC: Regulatory assets under management: $267,371,971 in the October 2022 data and $659,399,150 in the October 2026 data, up 147%. Total employees: 5 in October 2022 and 12 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Tradewinds, LLC serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (328); high net worth individuals (167); pension and profit sharing plans (but not the plan participants or government pension plans) (10).

**Which custodians does Tradewinds, LLC use?**
Tradewinds, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Wells Fargo Clearing Services, LLC as a custodian holding 10% or more of its separately managed account assets.

**Does Tradewinds, 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/316415

**What changed in Tradewinds, LLC's recent Form ADV filings?**
In the April 2026 filing data: Regulatory assets under management went from $560,186,183 to $659,399,150 (+18%).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Fixed fees (other than subscription fees)

### Custodians (Schedule D, Section 5.K(3))
- Wells Fargo Clearing Services, LLC

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.

### Regulatory assets under management (Item 5.F)
- Total: $659,399,150
- Discretionary: $659,399,150
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 328 | $117,104,138 |
| High net worth individuals | 167 | $518,344,422 |
| Banking or thrift institutions | Not reported | $0 |
| Investment companies | Not reported | $0 |
| Business development companies | Not reported | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | Not reported | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 10 | $14,873,939 |
| Charitable organizations | Not reported | $0 |
| State or municipal government entities (including government pension plans) | Not reported | $0 |
| Other investment advisers | Not reported | $0 |
| Insurance companies | Not reported | $0 |
| Sovereign wealth funds and foreign official institutions | Not reported | $0 |
| Corporations or other businesses not listed above | Fewer than 5 | $9,076,651 |
| Other | Not reported | $0 |

### 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

### Firm details
- Registered since: 2021 (4 years)
- Employees: 12 total, 9 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CO, NC, NH, NY, SC, TX, VA
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- tradewinds.global
- LinkedIn @tradewindsria

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2022 | $267,371,971 | 5 | February 4, 2022 |
| October 2023 | $242,512,893 | 7 | September 11, 2023 |
| October 2024 | $293,948,297 | 8 | April 30, 2024 |
| October 2025 | $560,186,183 | 11 | March 28, 2025 |
| October 2026 | $659,399,150 | 12 | March 13, 2026 |

Regulatory assets under management: $267,371,971 in the October 2022 data and $659,399,150 in the October 2026 data, up 147%.
Total employees: 5 in October 2022 and 12 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Regulatory assets under management went from $560,186,183 to $659,399,150 (+18%).

### November 2025
- Updated its list of owners and control persons (Schedule A).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Tradewinds, LLC (CRD 316415): Form ADV filing data as of October 2026.