Tradewinds, LLC
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Overview
Tradewinds, LLC operates as an advisory firm that has its headquarters in Raleigh, North Carolina. It oversees $242.5 million in assets under management across 884 client accounts, making it a mid-tier financial advisory firm in the nation by assets under management (AUM). The company has a small team, including 6 financial advisors. Tradewinds, LLC is not a registered broker-dealer, signifying that the company cannot buy and sell securities for its clients' and own accounts and instead is required to go through a broker-dealer company to do so. Securities are defined as exchangable fiscal assets like options, bonds and equities.
Tradewinds, LLC manages all of the company's client assets on a discretionary basis. Discretionary management signifies that a portfolio manager makes transaction choices without needing the client's permission. The advisory firm's typical account size is $274,336. The typical advisor at Tradewinds, LLC manages around 147 client accounts.
Tradewinds, LLC's headquarters is at 4600 Marriott Dr., Raleigh, North Carolina 27612. It is registered to serve clients in the state of North Carolina.
Assets Under Management
Number of Advisors
Disclosures
Office Location
Tradewinds, LLC by the Numbers
$242.5 million
7
884
$274.3 thousand
Fee Structure
Fees for financial management are based on which services are provided. However, fees billed by the firm typically consist of the following fee structure: asset-based. The firm does not provide a wrap fee program, in which the firm offers a bundle of services for a single fee.
Available
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Offered by 69% of firms
Percentage of Assets
Unavailable
-
Find one of the 21% of firms that offer this fee type
Hourly
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Find one of the 1% of firms that offer this fee type
Commissions
-
Find one of the 26% of firms that offer this fee type
Performance-based
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Find one of the 0% of firms that offer this fee type
Subscription
-
Find one of the 32% of firms that offer this fee type
Fixed
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Find one of the 10% of firms that offer this fee type
Other
Types of Clients
The firm caters to retail investors and high net worth investors. Out of its 884 clients, Tradewinds, LLC's largest client type is retail investors, though it also caters to 93 high-net-worth individuals. The SEC defines a high-net-worth individual as an individual who has at least $750,000 under management or a net worth of at least $1.50 million or who is considered a "qualified purchaser" (a standard met by having at least $5 million in investments). None of the company's accounts are represented by people from outside of the U.S.
- High-Net-Worth Individuals* - 38.59%
- Other Individuals - 61.41%
- Corporations - 0%
- Charitable Organizations - 0%
* The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.
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Disclosures
Tradewinds, LLC does not have any disclosures.
Please visit its Form ADV for more details.
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Financial Advisors at Tradewinds, LLC
Raleigh, NC
Raleigh, NC
Raleigh, NC
Raleigh, NC
Raleigh, NC
Raleigh, NC
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