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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

TRADEWINDS WEALTH MANAGEMENT

TRADEWINDS ASSET MANAGEMENT, LLC, CRD 323879

PORTLAND, OR

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:459bb761-aca3-b8ba-26a9-6d501fea8420

Data as of Sep 16, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:47 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 3
On other graphs: 0
Observed: Dec 7, 2022 to Sep 16, 2026
15 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.95 fund_share=0.05 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $135MItem 5.F on the latest filing (2026-09-16); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $135M
Private client RAUM: $128MderivedItem 5.D individuals plus high net worth individuals
Private client share: 95%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $45.0Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 4
Advisory employees: 4
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 261
Individual clients: 232
High net worth clients: 28
Custody, client assets: $30.2M
SEC number: 801-127142
CRD: 323879
Filings on the tape: 15
First filed: Dec 7, 2022
Latest filed: Sep 16, 2026
Organised: Limited Liability Company, DE

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
BRANDON ALEXANDER TRANK	n/a	PORTLAND, OR	3	11	3	no
CHRISTIAN SAMUEL D'URSO	n/a	PORTLAND, OR	2	19	3	no
James Paul Spangler	n/a	PORTLAND, OR	2	11	1	no

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
AEOVIA HEDGED EQUITY FUND, LP	Hedge Fund	$7.5M	Nov 22, 2024	26	Dec 7, 2022	reported	021-473893

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D'URSO, CHRISTIAN, SAMUEL	Principal	E	yes	12/2022	Dec 7, 2022	Nov 22, 2024
PELOS, CONSTANTINE, ANDREW	CHIEF COMPLIANCE OFFICER	Na	no	11/2024	Nov 18, 2024	Nov 22, 2024
Spangler, James, Paul	CHIEF OPERATING OFFICER	Na	no	12/2022	Dec 7, 2022	Nov 22, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
AEOVIA ASSET MANAGEMENT, LLC	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 3 of 4

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Feb 20, 2026	$135M	$135M	4	4	1	1	n/a
2024	Mar 24, 2025	$137M	$137M	4	4	1	1	n/a
2023	Mar 20, 2024	$132M	$132M	5	4	1	1	$7.5M

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	2	1

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$135M	$137M	-1.6%	n/a	n/a	4	4	1	1

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
FINANCIAL ADVOCATES INVESTMENT MANAGEMENT	3	Mar 9, 2023	Nov 30, 2023	PORTLAND, OR	Team lift out	RIA to new firm	2.7%

Relationships

Advises (1)

→ AEOVIA HEDGED EQUITY FUND, LPPrivate fundHedge Fund, IA
Dec 7, 2022 to presentfactForm ADV

Registered with (4)

← James Paul SpanglerAdvisorregistration: current employment
Nov 30, 2023 to presentfactForm ADV
← CHRISTIAN SAMUEL D'URSOAdvisorregistration: current employment
Nov 29, 2023 to presentfactForm ADV
← BRANDON ALEXANDER TRANKAdvisorregistration: current employment
Apr 23, 2023 to presentfactForm ADV
← Kataya Lorelei PlettAdvisorregistration: previous registration
Mar 9, 2023 to Mar 13, 2024factForm ADV

Owns (2)

← PELOS, CONSTANTINE, ANDREWOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Nov 18, 2024 to Nov 22, 2024factForm ADV
← Spangler, James, PaulOwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Dec 7, 2022 to Nov 22, 2024factForm ADV

Controls (1)

← D'URSO, CHRISTIAN, SAMUELOwnerPRINCIPAL, ownership code E, individual
Dec 7, 2022 to Nov 22, 2024factForm ADV

Moved with (1)

← FINANCIAL ADVOCATES INVESTMENT MANAGEMENTRegistered adviser3 advisors, team lift out, same day
Mar 9, 2023 to Nov 30, 2023factForm ADV

Dated events

Occurred
Mar 13, 2024
Advisor changed firm
Kataya Lorelei Plett left Tradewinds Wealth Management for Fisher Investments (registered 2024-03-18)
Form ADVobserved 6 days ago
Occurred
Mar 9, 2023
Team lift-out
3 advisors left Financial Advocates Investment Management (Portland, OR) for Tradewinds Wealth Management on the same day
Form ADVobserved 6 days ago
3 advisors
Occurred
Dec 7, 2022
First Form ADV filing
Tradewinds Wealth Management filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:459bb761-aca3-b8ba-26a9-6d501fea8420
First observed: Dec 7, 2022
Last observed: Sep 16, 2026 5 days ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

TRADEWINDS WEALTH MANAGEMENT

TRADEWINDS ASSET MANAGEMENT, LLC, CRD 323879

PORTLAND, OR

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:459bb761-aca3-b8ba-26a9-6d501fea8420

Data as of Sep 16, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:47 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

BRANDON ALEXANDER TRANK

n/a

PORTLAND, OR

CHRISTIAN SAMUEL D'URSO

n/a

PORTLAND, OR

James Paul Spangler

n/a

PORTLAND, OR

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

AEOVIA HEDGED EQUITY FUND, LP

Hedge Fund

$7.5M

Nov 22, 2024

Dec 7, 2022

reported

021-473893

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

D'URSO, CHRISTIAN, SAMUEL

Principal

yes

12/2022

Dec 7, 2022

Nov 22, 2024

PELOS, CONSTANTINE, ANDREW

CHIEF COMPLIANCE OFFICER

11/2024

Nov 18, 2024

Nov 22, 2024

Spangler, James, Paul

CHIEF OPERATING OFFICER

12/2022

Dec 7, 2022

Nov 22, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

AEOVIA ASSET MANAGEMENT, LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Feb 20, 2026

$135M

n/a

2024

Mar 24, 2025

$137M

n/a

2023

Mar 20, 2024

$132M

$7.5M

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$135M

$137M

-1.6%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

FINANCIAL ADVOCATES INVESTMENT MANAGEMENT

Mar 9, 2023

Nov 30, 2023

PORTLAND, OR

Team lift out

RIA to new firm

2.7%