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TRADEWINDS, LLC

RALEIGH, NC · CRD 316415 · IAPD ↗ · 984.257.9091

$659.4MRegulatory AUM
9Advisory reps
12Employees
0Clients
251-500Planning clients
0Private funds
7States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

64
April 2026 — TRADEWINDS, LLC reports 251-500 financial-planning clients, up from 51-100.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
70
April 2025 — TRADEWINDS, LLC crossed $500M in regulatory AUM ($293.9M -> $560.2M).
Regulatory AUM crossed $500M.
Portfolio / reporting / TAMPCRMIntegration & migration consulting
71
April 2025 — TRADEWINDS, LLC grew from 6 to 9 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
70
April 2024 — TRADEWINDS, LLC reports 51-100 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
78
April 2024 — TRADEWINDS, LLC now offers financial planning (Item 5G(1)).
Firm now reports offering financial planning (Item 5G(1)). They need planning software.
Financial planning softwareCRM

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