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TRADEWINDS CAPITAL MANAGEMENT, LLC

BELLINGHAM, WA · CRD 145934 · IAPD ↗ · 360-715-9000

$727.3MRegulatory AUM
7Advisory reps
10Employees
0Clients
51-100Planning clients
0Private funds
12States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

45
April 2026 — TRADEWINDS CAPITAL MANAGEMENT, LLC notice-filed in MT.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
45
April 2025 — TRADEWINDS CAPITAL MANAGEMENT, LLC notice-filed in ID.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
45
October 2024 — TRADEWINDS CAPITAL MANAGEMENT, LLC notice-filed in NC.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
53
October 2024 — TRADEWINDS CAPITAL MANAGEMENT, LLC added office(s): 0 -> 1 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
45
June 2024 — TRADEWINDS CAPITAL MANAGEMENT, LLC notice-filed in WI.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
45
April 2024 — TRADEWINDS CAPITAL MANAGEMENT, LLC notice-filed in MO.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
73
April 2024 — TRADEWINDS CAPITAL MANAGEMENT, LLC grew from 2 to 7 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.