Tradewinds provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, education planning, estate planning, insurance, and tax planning. Financial planning was provided to 251–500 clients last fiscal year.
Tradewinds reports 505 clients. They include 328 individual clients, 167 high-net-worth individuals, and 10 pension and profit-sharing plans. Of its assets, 100.0% ($659M across 1,672 accounts) are managed with discretion.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 65% | 18% |
| High-net-worth individuals | 33% | 79% |
| Pension and profit-sharing plans | 2% | 2% |
| Corporations and other businesses | Fewer than 5 | 1% |
Client shares use reported counts. Client types without a reported count are excluded from that total.
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 328 | $117M | 17.8% | $357K |
| High-net-worth individuals | 167 | $518M | 78.6% | $3.1M |
| Pension and profit-sharing plans | 10 | $14.9M | 2.3% | $1.49M |
| Corporations and other businesses | Fewer than 5 | $9.08M | 1.4% | — |
| Total | 505 | $659M | 100% | — |
- Clients
- 328
- Regulatory AUM
- $117M
- AUM share
- 17.8%
- Avg. per client
- $357K
- Clients
- 167
- Regulatory AUM
- $518M
- AUM share
- 78.6%
- Avg. per client
- $3.1M
- Clients
- 10
- Regulatory AUM
- $14.9M
- AUM share
- 2.3%
- Avg. per client
- $1.49M
- Clients
- Fewer than 5
- Regulatory AUM
- $9.08M
- AUM share
- 1.4%
- Avg. per client
- —
Total
- Clients
- 505
- Regulatory AUM
- $659M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 251–500
Tradewinds charges 1.25%–2.25% a year for its Investment Management Fee. The fee is billed in arrears and is negotiable. The brochure also prices one other service, listed under fee details.
Fee details and sources
Other fees
- Financial Planning and Consulting
- Billed on an hourly, fixed or project basis, generally not exceeding $20,000 in total; a retainer may be requested, with no prepayment over $1,200 more than six months ahead.
Tradestone Holdings LLC owns 75% or more of Tradewinds and is in turn owned by Timothy Whitney (75% or more). Timothy Whitney is CEO; the leadership team includes President Stephanie Williams and Chief Compliance Officer Ian Meiksins. It has 12 employees, 9 of them in advisory roles.
Leadership
- Timothy WhitneyChief Executive Officer
Stephanie WilliamsPresident- Ian MeiksinsChief Compliance Officer
Investment adviser representatives
11 representatives listed in the SEC register as of 9 October 2026.
Staff
- 12 employees
- 9 in advisory functions
- 10 state-registered reps
- Owns 75% or more of Tradewinds, LLC
Tradestone Holdings LLC
since October 2025
- Owns 75% or more of Tradestone Holdings LLC
Timothy Whitney
Control person · since October 2025
Tradewinds’ regulatory assets grew 2.5× from $267M (February 2022) to $659M (March 2026); clients rose from 209 to 505 and employees from 5 to 12.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| March 2026 | $659M | 505 | 12 | 1 |
| March 2025 | $560M | 476 | 11 | 1 |
| April 2024 | $294M | 279 | 8 | 1 |
| August 2023 | $243M | 241 | 7 | 2 |
| February 2022 | $267M | 209 | 5 | 2 |
Besides its headquarters, Tradewinds has 0 offices, with 1 listed address in North Carolina.
North Carolina · 1 listed address
- 4600 Marriott DR., Suite 200, RaleighHQ
Contact and registration details
- Legal name
- Tradewinds, LLC
- Headquarters
- 4600 Marriott DR., Suite 200, Raleigh, NC 27612
- Website
- tradewinds.global
- Phone
- 984-257-9091
- @tradewindsria
- SEC file
- 801-122614
- Founded
- 2021
- Structure
- North Carolina LLC
- Fiscal year end
- December
Tradewinds uses Wells Fargo Clearing Services ($659M) as custodian for its separately managed accounts. Tradewinds has custody of $72.5M in client assets for 137 clients.
- Wells Fargo Clearing ServicesWells Fargo Clearing Services, LLC · St. Louis, MO · $659M100%
At year end, Tradewinds’ separately managed accounts were mostly in stocks (77%) and bonds (15%). Its reported 13F holdings for the quarter ended 30 June 2026 total $444M across 215 positions; the largest are Apple Inc. (4.9%), Nvidia Corp. (4.8%) and Microsoft Corp. (3.0%).
What the accounts hold
- Stocks77%
- Bonds15%
- State and local bonds9%
- U.S. government and agency bonds4%
- Investment grade corporate bonds2%
- Cash6%
- Other2%
- Cryptocurrency2%
Reported 13F holdings
- $444M
- Reported 13F value
- 215
- Positions
- 31.9%
- In the 10 largest
- +43.2%
- Value vs. prior quarter
- Apple Inc.4.9%
- Nvidia Corp.4.8%
- Microsoft Corp.3.0%
- Dimensional TR ETF Intl Vale3.0%
- Amazon Com Inc.2.9%
- JPMORGAN ETF Ultra-short Income2.7%
- iShares ETF Edge MSCI Momentum Factor ETF2.7%
- Vanguard Morningstar ETF Value2.7%
- Alphabet Inc. Non Voting Cap Stk CL C2.6%
- JPMORGAN Chase & CO2.6%
Together, the ten largest are 31.9% of reported value.
How many clients does Tradewinds have?
Tradewinds has 505 clients and manages $659 million for them, as of March 2026. They include 328 individual clients, 167 high-net-worth individuals, and 10 pension and profit-sharing plans.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 13 March 2026
What services does Tradewinds offer?
Tradewinds provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, education planning, estate planning, insurance, and tax planning.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4
How much does Tradewinds charge?
Tradewinds charges 1.25%–2.25% a year for its Investment Management Fee. The fee is billed in arrears and is negotiable.
Which custodians does Tradewinds use?
Tradewinds’ separately managed account assets are held at Wells Fargo Clearing Services, LLC (St. Louis, MO), with $659M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 13 March 2026
How many financial advisors does Tradewinds have?
Tradewinds has 10 investment adviser representatives registered with state securities authorities, out of 12 employees, and 9 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Tradewinds invest in?
At the end of its last fiscal year, Tradewinds’ separately managed accounts held 77% exchange-traded equities, 9% state and local bonds, 6% cash and equivalents, 4% U.S. government and agency bonds, 2% investment grade corporate bonds and 2% other. The 2% other category is described as: Cryptocurrency.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Tradewinds?
Tradewinds is owned through a holding company by Timothy Whitney. Its direct owner is Tradestone Holdings LLC (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 13 March 2026
How does Tradewinds get paid?
Tradewinds is paid through a percentage of assets under management and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
Is Tradewinds registered with the SEC?
Yes, Tradewinds has been registered with the SEC as an investment adviser since 4 November 2021. Its CRD number is 316415 and its SEC file number is 801-122614.
Source: Form ADV Part 1A, Item 1, filed 13 March 2026; IAPD firm record
How do I contact Tradewinds?
Tradewinds’ main office is at 4600 Marriott DR., Suite 200, Raleigh, NC 27612. Its phone number is 984-257-9091. Its website is tradewinds.global.