# Tradewinds Wealth Management

> 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.

- CRD: 323879
- Filed as: TRADEWINDS WEALTH MANAGEMENT
- Legal name: Tradewinds Asset Management, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Portland, OR
- Filing period: October 2026
- Form ADV filing dated: September 16, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/323879
- AdvisorCensus page: https://advisorcensus.com/firm/tradewinds-wealth-management-portland-or-323879

## Quick answers

**How is Tradewinds Wealth Management compensated?**
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.

**Where is Tradewinds Wealth Management located?**
Tradewinds Wealth Management's principal office is in Portland, OR, according to its Form ADV.

**Is Tradewinds Wealth Management registered with the SEC or a state?**
Tradewinds Wealth Management is an SEC-registered investment advisory firm, registered since 2023. Status as filed: Approved. CRD 323879.

**How much does Tradewinds Wealth Management manage?**
Tradewinds Wealth Management reports $135,065,801 in regulatory assets under management in its Form ADV filing dated September 16, 2026 (100% discretionary).

**How have Tradewinds Wealth Management's assets and staff changed since 2023?**
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.

**What types of clients does Tradewinds Wealth Management serve?**
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).

**Which custodians does Tradewinds Wealth Management use?**
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.

**Does Tradewinds Wealth Management 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/323879

**What changed in Tradewinds Wealth Management's recent Form ADV filings?**
In the October 2026 filing data: Updated its list of owners and control persons (Schedule A).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Performance-based fees

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.

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: $135,065,801
- Discretionary: $135,065,801
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 232 | $79,866,770 |
| High net worth individuals | 28 | $47,852,779 |
| Pooled investment vehicles (other than investment companies and business development companies) | 1 | $7,346,252 |

### Advisory services (Item 5.G)
- 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)

### Firm details
- Registered since: 2023 (3 years)
- Employees: 4 total, 4 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: AZ, CA, CO, MA, NH, OR, RI, TX, WA
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- tradewindswm.com
- Facebook @tradewindswm
- LinkedIn @tradewinds-wm

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2023 | $109,515,139 | 5 | June 29, 2023 |
| October 2024 | $131,640,422 | 5 | August 22, 2024 |
| October 2025 | $137,267,206 | 4 | March 24, 2025 |
| October 2026 | $135,065,801 | 4 | September 16, 2026 |

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.

## Changes in the filing (last 12 months)

### October 2026
- 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 Wealth Management (CRD 323879): Form ADV filing data as of October 2026.