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TRADEWINDS, LLC
CRD 316415 · SEC 801-122614
4600 MARRIOTT DR., SUITE 200, RALEIGH, NC, 27612, United States
Phone
984.257.9091
Fax
919-322-2330
Registration
Registered (APPROVED)
Source
SEC registered
Total AUM
$659.4M
Discretionary AUM
$659.4M
Team
12 total employees; 9 advisory reps
Clients
251-500
Fees
Percentage of AUM; Fixed fees
Org form
Limited Liability Company
Filing date
2026-03-13
Disciplinary history
No
Services
Financial planningPortfolio management (individuals)Portfolio management (institutions)
Client types
| Type | Clients | AUM |
|---|---|---|
| Individuals | 328 | $117.1M |
| High net worth individuals | 167 | $518.3M |
| Pension/profit sharing plans | 10 | $14.9M |
States served
CO, NY, NC, SC, VA, TX, NH
All web addresses on file
Official SEC filing: View on IAPD