{
  "crd_number": 323879,
  "slug": "tradewinds-wealth-management-portland-or-323879",
  "primary_business_name": "TRADEWINDS WEALTH MANAGEMENT",
  "legal_name": "TRADEWINDS ASSET MANAGEMENT, LLC",
  "dbas": [],
  "city": "Portland",
  "state": "OR",
  "country": "United States",
  "cbsa_code": "38900",
  "metro": {
    "cbsa_code": "38900",
    "common_name": "Portland",
    "msa_name": "Portland-Vancouver-Hillsboro, OR-WA",
    "path": "/advisors/or/portland"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2023-01-06",
  "years_registered": 3,
  "period": "2026-10-01",
  "filing_date": "2026-09-16",
  "carried_forward": false,
  "raum_total": 135065801.0,
  "raum_discretionary": 135065801.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "100m_500m",
  "raum_band_label": "$100 million to $500 million",
  "total_employees": 4,
  "advisory_employees": 4,
  "client_count_bucket": null,
  "clients_by_type": {
    "individuals": {
      "raum": 79866770.0,
      "count": 232
    },
    "high_net_worth_individuals": {
      "raum": 47852779.0,
      "count": 28
    },
    "pooled_investment_vehicles": {
      "raum": 7346252.0,
      "count": 1
    }
  },
  "compensation_types": [
    "percentage_of_aum",
    "performance_based"
  ],
  "advisory_activities": [
    "financial_planning",
    "portfolio_management_individuals",
    "portfolio_management_pooled_vehicles",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "AZ",
    "CA",
    "CO",
    "MA",
    "NH",
    "OR",
    "RI",
    "TX",
    "WA"
  ],
  "websites": [
    "https://facebook.com/tradewindswm",
    "https://linkedin.com/company/tradewinds-wm",
    "https://tradewindswm.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/323879",
  "city_as_filed": "PORTLAND",
  "url": "https://advisorcensus.com/firm/tradewinds-wealth-management-portland-or-323879",
  "display_name": "Tradewinds Wealth Management",
  "summary": "Tradewinds Wealth Management is an SEC-registered investment advisory firm in Portland, OR, registered since 2023, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated September 16, 2026.",
  "citation": "AdvisorCensus. Tradewinds Wealth Management (CRD 323879): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Performance-based fees"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Portfolio management for pooled investment vehicles (other than investment companies)",
    "Selection of other advisers (including private fund managers)"
  ],
  "quick_answers": [
    {
      "q": "How is Tradewinds Wealth Management compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Tradewinds Wealth Management reports these compensation arrangements: a percentage of assets under its management; performance-based fees."
    },
    {
      "q": "Where is Tradewinds Wealth Management located?",
      "a": "Tradewinds Wealth Management's principal office is in Portland, OR, according to its Form ADV."
    },
    {
      "q": "Is Tradewinds Wealth Management registered with the SEC or a state?",
      "a": "Tradewinds Wealth Management is an SEC-registered investment advisory firm, registered since 2023. Status as filed: Approved. CRD 323879."
    },
    {
      "q": "How much does Tradewinds Wealth Management manage?",
      "a": "Tradewinds Wealth Management reports $135,065,801 in regulatory assets under management in its Form ADV filing dated September 16, 2026 (100% discretionary)."
    },
    {
      "q": "How have Tradewinds Wealth Management's assets and staff changed since 2023?",
      "a": "In the Form ADV data for Tradewinds Wealth Management: Regulatory assets under management: $109,515,139 in the October 2023 data and $135,065,801 in the October 2026 data, up 23%. Total employees: 5 in October 2023 and 4 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Tradewinds Wealth Management serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (232); high net worth individuals (28); pooled investment vehicles (other than investment companies and business development companies) (1)."
    },
    {
      "q": "Which custodians does Tradewinds Wealth Management use?",
      "a": "Tradewinds Wealth Management'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."
    },
    {
      "q": "Does Tradewinds Wealth Management report any disciplinary disclosures?",
      "a": "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/323879"
    },
    {
      "q": "What changed in Tradewinds Wealth Management's recent Form ADV filings?",
      "a": "In the October 2026 filing data: Updated its list of owners and control persons (Schedule A)."
    }
  ],
  "filing_history": [
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 109515139.0,
      "total_employees": 5,
      "filing_date": "2023-06-29"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 131640422.0,
      "total_employees": 5,
      "filing_date": "2024-08-22"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 137267206.0,
      "total_employees": 4,
      "filing_date": "2025-03-24"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 135065801.0,
      "total_employees": 4,
      "filing_date": "2026-09-16"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-10-01",
      "period_label": "October 2026",
      "notes": [
        "Updated its list of owners and control persons (Schedule A)."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [
    {
      "name": "Charles Schwab & Co., Inc.",
      "name_as_filed": "CHARLES SCHWAB & CO., INC.",
      "affiliated": false
    }
  ],
  "custodians_note": "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.",
  "markdown_url": "https://advisorcensus.com/firm/tradewinds-wealth-management-portland-or-323879.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 232,
      "fewer_than_5": false,
      "raum": 79866770.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 28,
      "fewer_than_5": false,
      "raum": 47852779.0
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 1,
      "fewer_than_5": false,
      "raum": 7346252.0
    }
  ],
  "disclosure_line": "Reports no disclosure items on Form ADV Item 11.",
  "disclosure_items": [],
  "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/323879",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}