TradeWinds Asset Management provides financial planning, portfolio management for individuals and small businesses, portfolio management for pooled vehicles, and selecting other managers. Financial planning was provided to 251–500 clients last fiscal year. The firm advises 1 private fund.
TradeWinds Asset Management reports 261 clients. They include 232 individual clients, 28 high-net-worth individuals and 1 pooled investment vehicle. Of its assets, 100.0% ($135M across 261 accounts) are managed with discretion.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 89% | 59% |
| High-net-worth individuals | 11% | 35% |
| Pooled investment vehicles | <1% | 5% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 232 | $79.9M | 59.1% | $344K |
| High-net-worth individuals | 28 | $47.9M | 35.4% | $1.71M |
| Pooled investment vehicles | 1 | $7.35M | 5.4% | $7.35M |
| Total | 261 | $135M | 100% | $517K |
- Clients
- 232
- Regulatory AUM
- $79.9M
- AUM share
- 59.1%
- Avg. per client
- $344K
- Clients
- 28
- Regulatory AUM
- $47.9M
- AUM share
- 35.4%
- Avg. per client
- $1.71M
- Clients
- 1
- Regulatory AUM
- $7.35M
- AUM share
- 5.4%
- Avg. per client
- $7.35M
Total
- Clients
- 261
- Regulatory AUM
- $135M
- AUM share
- 100%
- Avg. per client
- $517K
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 1
- Financial planning clients last fiscal year
- 251–500
TradeWinds Asset Management charges 0.55%–1.50% a year for its Investment Management Services. The fee is billed in advance and is negotiable. The brochure also prices one other service, listed under fee details.
Fee details and sources
Other fees
- Stand-alone financial planning
- Fixed fee agreed with each client for stand-alone planning, negotiable and set case by case; no rate is stated. Planning is included at no charge with investment management.
Meadowstone Holdings, LLC owns 75% or more of TradeWinds Asset Management and is in turn owned by Christian D'Urso (75% or more). The leadership team of TradeWinds Asset Management includes Chief Operating Officer James Spangler and Chief Compliance Officer Constantine Pelos. It has 4 employees.
Leadership
- James SpanglerChief Operating Officer
- Constantine PelosChief Compliance Officer
- Christian D'UrsoPrincipal
Investment adviser representatives
3 representatives listed in the SEC register as of 9 October 2026.
Staff
- 4 employees
- 4 in advisory functions
- 4 state-registered reps
- 1 soliciting firm
- Owns 75% or more of Tradewinds Asset Management, LLC
Meadowstone Holdings, LLC
Control person · since September 2026
- Owns 75% or more of Meadowstone Holdings, LLC
Christian D'Urso
Control person · since September 2026
- Owns 5% to 10% of Tradewinds Asset Management, LLC
Spangler Holdings LLC
Control person · since September 2026
- Owns 75% or more of Spangler Holdings LLC
James Spangler
Control person · since September 2026
TradeWinds Asset Management’s regulatory assets grew from $110M (June 2023) to $135M (September 2026); clients were 261 in both filings and employees fell from 5 to 4.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| September 2026 | $135M | 261 | 4 | 2 |
| March 2025 | $137M | 265 | 4 | 2 |
| March 2024 | $132M | 261 | 5 | 2 |
| June 2023 | $110M | 253 | 5 | 3 |
Besides its headquarters, TradeWinds Asset Management has 1 office (1 private residence, listed without an address), with 1 listed address in Oregon.
Oregon · 1 listed address
- 5550 S Macadam Ave, Ste 110, PortlandHQ
Contact and registration details
- Legal name
- Tradewinds Asset Management, LLC
- Headquarters
- 5550 S Macadam Ave, Ste 110, Portland, OR 97239
- Website
- tradewindswm.com
- Phone
- 503-673-2828
- @tradewinds-wm
- SEC file
- 801-127142
- Structure
- Delaware LLC
- Fiscal year end
- December
TradeWinds Asset Management uses Charles Schwab ($128M) as custodian for its separately managed accounts. TradeWinds Asset Management has custody of $30.2M in client assets for 76 clients.
- Charles SchwabCharles Schwab & Co., Inc. · Westlake, TX · $128M100%
At year end, TradeWinds Asset Management’s separately managed accounts were mostly in funds (51%) and stocks (40%).
What the accounts hold
- Stocks40%
- Funds51%
- Registered funds45%
- Pooled vehicles6%
- Cash9%
How many clients does TradeWinds Asset Management have?
TradeWinds Asset Management has 261 clients and manages $135 million for them, as of September 2026. They include 232 individual clients, 28 high-net-worth individuals and 1 pooled investment vehicle.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 16 September 2026
What services does TradeWinds Asset Management offer?
TradeWinds Asset Management provides financial planning, portfolio management for individuals and small businesses, portfolio management for pooled vehicles, and selecting other managers.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How much does TradeWinds Asset Management charge?
TradeWinds Asset Management charges 0.55%–1.50% a year for its Investment Management Services. The fee is billed in advance and is negotiable.
Which custodians does TradeWinds Asset Management use?
TradeWinds Asset Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $128M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 16 September 2026
How many financial advisors does TradeWinds Asset Management have?
TradeWinds Asset Management has 4 investment adviser representatives registered with state securities authorities, out of 4 employees, and 4 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 Asset Management invest in?
At the end of its last fiscal year, TradeWinds Asset Management’s separately managed accounts held 45% registered funds (mutual funds, ETFs, BDCs), 40% exchange-traded equities, 9% cash and equivalents and 6% pooled vehicles (private funds and similar). It advises 1 private fund.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns TradeWinds Asset Management?
TradeWinds Asset Management is owned through holding companies by Christian D'Urso and James Spangler. Its direct owners are Spangler Holdings LLC (5% to 10%) and Meadowstone Holdings, LLC (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 16 September 2026
How does TradeWinds Asset Management get paid?
TradeWinds Asset Management is paid through a percentage of assets under management and performance-based fees. Its Form ADV lists no commissions among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
How do I contact TradeWinds Asset Management?
TradeWinds Asset Management’s main office is at 5550 S Macadam Ave, Ste 110, Portland, OR 97239. Its phone number is 503-673-2828. Its website is tradewindswm.com.