DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Tradewinds Global Investors, LLC

Former SEC-registered adviserLos Angeles, CaliforniaCRD 138476SEC 801-65208IAPD
Latest filing Sep 1, 2016
First filing on the tape Mar 30, 2012 · 20 filings
RAUM
$3.0B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
42
21 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$3.0B as of Mar 30, 2016
Mar 30, 2012$30B then
HNW client RAUM: no history
State-registered IARs (5.B.3)15 as of Mar 30, 2016
Mar 28, 201311 then
Employees (5.A)42 as of Mar 30, 2016
Mar 28, 201363 then
Private funds1 as of Mar 31, 2015
Mar 30, 20124 then
RAUM -30% over the last fiscal year-25% a year over threeIARs 13 to 15
Practice profile
derived from the filing of Sep 1, 2016; every figure names its basis
RAUM per advisor
$201MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$840,605derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.8derivedItem 5.A over advisors
Advisors per office
5.0derived3 offices incl. principal (1.F.5)
RAUM growth, one year
-30%derivedbetween the last two annual amendments
Advisor growth, one year
+15%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3,589reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
4 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
Tradewinds Global/Long Short Master Fund Limitedno longer reportedHedge Fund$46.4M28Mar 30, 2012
Tradewinds Institutional Investment Trust - Tradewinds Global All-Cap PortfolioOther Private Fund$18.8M3Mar 30, 2012
Tradewinds Institutional Investment Trust - Tradewinds Emerging Markets Porfoliono longer reportedOther Private Fund$2.0M6Mar 30, 2012
Tradewinds Institutional Investment Trust - Tradewinds International Equity Portfoliono longer reportedOther Private Fund$00Mar 30, 2012
Owners and control persons
Schedule A and B, latest filing
  • Patrick Jeffrey Cusack · Executive Managing Director, Presidentcontrol
    since 03/2014 · owns less than 5%
  • C. Mary Ann Iudice · Chief Compliance Officer
    since 06/2014 · owns less than 5%
Entity owners
  • Nuveen Tradewinds Holdings, LLC · Managing Member
    direct · owns 75% or more
  • Nuveen Holdings, Inc. · Shareholder
    indirect · owns 75% or more of Nuveen Investments, Inc.
  • Nuveen Investments, Inc. · Managing Member
    indirect · owns 75% or more of Nuveen Tradewinds Holdings, LLC
  • Teachers Insurance And Annuity Association Of America · Member
    indirect · owns 75% or more of Tiaa Global Asset Management, LLC
  • Tiaa Asset Management Finance Company, LLC · Shareholder
    indirect · owns 75% or more of Nuveen Holdings, Inc.
  • Tiaa Board Of Overseers · Shareholder
    indirect · owns 75% or more of Teachers Insurance And Annuity Association Of America
  • Tiaa Global Asset Management, LLC · Member
    indirect · owns 75% or more of Tiaa Asset Management Finance Company, LLC
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
  • Memphis, TN
  • New York, NY
What changed
consecutive filings, newest first
  • Accounts · 4,335 to 3,589
    Dec 7, 2015 to Mar 30, 2016
  • BD registered reps · 6 to 7
    Dec 7, 2015 to Mar 30, 2016
  • State-registered IARs · 13 to 15
    Dec 7, 2015 to Mar 30, 2016
  • Private funds · 1 to unset
    Dec 7, 2015 to Mar 30, 2016
  • Discretionary RAUM · $4.3B to $3.0B
    Dec 7, 2015 to Mar 30, 2016
  • RAUM · $4.3B to $3.0B
    Dec 7, 2015 to Mar 30, 2016
  • Accounts · 5,453 to 4,335
    Oct 3, 2014 to Mar 31, 2015
  • Advisory employees · 22 to 21
    Oct 3, 2014 to Mar 31, 2015
  • BD registered reps · 7 to 6
    Oct 3, 2014 to Mar 31, 2015
  • Employees · 46 to 42
    Oct 3, 2014 to Mar 31, 2015
  • State-registered IARs · 11 to 13
    Oct 3, 2014 to Mar 31, 2015
  • Discretionary RAUM · $5.2B to $4.3B
    Oct 3, 2014 to Mar 31, 2015
  • RAUM · $5.2B to $4.3B
    Oct 3, 2014 to Mar 31, 2015
  • Accounts · 5,792 to 5,453
    Mar 3, 2014 to Mar 28, 2014
  • Advisory employees · 14 to 22
    Mar 3, 2014 to Mar 28, 2014
  • Advisory activities · 5 to 4
    Mar 3, 2014 to Mar 28, 2014
  • BD registered reps · 9 to 7
    Mar 3, 2014 to Mar 28, 2014
  • Assets in custody · 19936828.0 to unset
    Mar 3, 2014 to Mar 28, 2014
  • Custody of client assets · true to false
    Mar 3, 2014 to Mar 28, 2014
  • Employees · 49 to 46
    Mar 3, 2014 to Mar 28, 2014
  • Private funds · 2 to 1
    Mar 3, 2014 to Mar 28, 2014
  • Discretionary RAUM · $4.9B to $5.2B
    Mar 3, 2014 to Mar 28, 2014
  • RAUM · $4.9B to $5.2B
    Mar 3, 2014 to Mar 28, 2014
  • Accounts · 9,322 to 5,792
    Jul 24, 2013 to Sep 19, 2013
  • Advisory employees · 15 to 14
    Jul 24, 2013 to Sep 19, 2013
  • Assets in custody · $344M to $19.9M
    Jul 24, 2013 to Sep 19, 2013
  • Employees · 63 to 49
    Jul 24, 2013 to Sep 19, 2013
  • Private funds · 3 to 2
    Jul 24, 2013 to Sep 19, 2013
  • Discretionary RAUM · $6.7B to $4.9B
    Jul 24, 2013 to Sep 19, 2013
  • RAUM · $6.7B to $4.9B
    Jul 24, 2013 to Sep 19, 2013
  • Accounts · 10,441 to 9,322
    Mar 28, 2013 to Apr 30, 2013
  • Discretionary RAUM · $7.2B to $6.7B
    Mar 28, 2013 to Apr 30, 2013
  • RAUM · $7.2B to $6.7B
    Mar 28, 2013 to Apr 30, 2013
  • Accounts · 14,196 to 10,441
    Nov 28, 2012 to Mar 28, 2013
  • BD registered reps · 11 to 9
    Nov 28, 2012 to Mar 28, 2013
  • Assets in custody · unset to 343895134.0
    Nov 28, 2012 to Mar 28, 2013
  • Custody of client assets · false to true
    Nov 28, 2012 to Mar 28, 2013
  • Employees · 72 to 63
    Nov 28, 2012 to Mar 28, 2013
  • State-registered IARs · 12 to 11
    Nov 28, 2012 to Mar 28, 2013
  • Discretionary RAUM · $9.3B to $7.2B
    Nov 28, 2012 to Mar 28, 2013
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
Provenance
Form ADV
SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors
IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026