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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

SEC-registered adviser

T••••••••• C•••••• M••••••••• L••

Independent wealth managerBellingham, WashingtonCRD 145934SEC 801-68789website IAPD

Latest filing Aug 19, 2026

First filing on the tape Dec 15, 2011 · 60 filings

SEC status approved since Feb 6, 2008

RAUM

$727M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$725M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$104M

derived; firm RAUM over IAPD count

Employees

7 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

60 filings and snapshots on the tape

RAUM$727M as of Aug 19, 2026

Mar 13, 2012$126M then

HNW client RAUM$483M as of Aug 19, 2026

Mar 15, 2018$439M then

State-registered IARs (5.B.3)8 as of Aug 19, 2026

Mar 13, 20120 then

Employees (5.A)10 as of Aug 19, 2026

Mar 7, 20135 then

Private funds: no history

RAUM +21% over the last fiscal year+12% a year over threeIARs 8 to 8

Practice profile

derived from the filing of Aug 19, 2026; every figure names its basis

Archetypes, each a printed rule

HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control

RAUM per advisor: $104MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 318derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.5MderivedHNW RAUM over HNW clients
Average account: $320,690derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.4derivedItem 5.A over advisors
Advisors per office: 7.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +21%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +58%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 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)
receives research or other products from a broker-dealer, soft dollars (8.E)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$483M66%
Individuals$242M33%
Corporations and businesses$1.8M0.2%
Charitable organizations$1.0M0.1%

Individual clients: 2,028reported
HNW clients: 196reported
Pension plan clients: n/areported
Charitable clients: 5reported
Accounts: 2,268reported
Financial planning clients: 51-100reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived

Advisors registered through the firm

7 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
B••••• J•••• E•••••••••Certified Financial Planner, Chartered Financial Consultant	B•••••••••, Wa	Mar 25, 2008	32 y	1
K••• B• J••••••Certified Financial Planner, Chartered Financial Consultant	B•••••••••, Wa	Oct 31, 2008	20 y	1
A•••• L• S•••••	B•••••••••, Wa	Nov 19, 2019	14 y	2
C••••••••• W•••••• L•••Chartered Financial Analyst	B•••••••••, Wa	Aug 1, 2023	21 y	1
J••••• S••••• S•••••	B•••••••••, Wa	Nov 20, 2023	13 y	0
D••••• B•••••• P••••	B•••••••••, Wa	Jan 10, 2024	26 y	2
A•• N••••• B••••	B•••••••••, Wa	Aug 29, 2024	11 y	1

Advisor movement

0 left, 0 joined in 12 months

net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months

Left, latest

T•••• R••••• C•••••• to E••••• J••••
Aug 21, 2024 · RIA to affiliated broker-dealer or bank
M••• R••••• G•••••• A••••••• to P•••••• S••• P•••••••• L••
Apr 12, 2022 · RIA TO NEW F•••
C•••• H• G••• to P•••••• S••• P•••••••• L••
Apr 12, 2022 · RIA TO NEW F•••
D••••• A••• L•••• to F••• F••••••••• W••••• M••••••••• L••
Dec 12, 2018 · RIA to a state-registered adviser

Joined, latest

A•• N••••• B•••• from V••• R•••• C••••••• L••
Aug 29, 2024 · Other
D••••• B•••••• P•••• from U••• B•••••• I••••••••• I•••
Jan 10, 2024 · Other
C••••••••• W•••••• L••• from S•••••• C•••••• C•••••••••
Aug 1, 2023 · Other
A•••• L• S••••• from S•••••• C•••••• C•••••••••
Nov 19, 2019 · Other
C•••• H• G••• from C•••••• S••••• • C••• I•••
Mar 28, 2019 · Affiliated broker-dealer or bank to independent RIA
D••••• A••• L•••• from E••••• J••••
May 8, 2015 · Other
M••• R••••• G•••••• A••••••• from E••••• J••••
Oct 19, 2012 · Other
K••• B• J•••••• from E••••• J••••
Oct 31, 2008 · Other
B••••• J•••• E••••••••• from E••••• J••••
Mar 25, 2008 · Other

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

2 left for P•••••• S••• P•••••••• L••
Apr 12, 2022 · Shoreline, Wa

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

P••••• D•••••• B•••••• · Chief Compliance Officercontrol
since 02/2024 · owns less than 5%
E••••••••• B•••••• J•••• · Managing Membercontrol
since 01/2012 · owns 75% or more of T•• B••••••••• L••
J••••••• K•••• B• · Ownercontrol
since 02/2023 · owns 75% or more of T•• J••••••

Entity owners

T•• B••••••••• L•• · Managing Member
direct · owns 75% or more
T•• J•••••• · Owner
direct · owns 10% to 25%

Related persons

Schedule D 7.A

No related person reported.

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
B•••••••••, Wa · principal	7	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

2 against comparable advisers; where to look, not conclusions

unusually high clients per advisorStatic outlier · filing Aug 19, 2026
private clients per advisor of 317.7 against a peer median of 63.6 (1210 comparable advisers, 99.0th percentile, 6.9 robust deviations)
peers: independent wealth managers, $500M to $1B (1,210) · 99% percentile
client count surgeChange between filings · filing Mar 26, 2026
individual and HNW clients (Item 5.D) moved from 1,411.0 to 2,224.0 (+58.0%) between the annual amendments of 2025-04-07 and 2026-03-26; the peer median change was +5.0% (1216 comparable advisers, 97.0th percentile of changes)
peers: independent wealth managers, $500M to $1B (1,216) · 97% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 2,652 to 2,268
Nov 7, 2025 to Mar 26, 2026
Charity clients · unset to 5.0
Nov 7, 2025 to Mar 26, 2026
Corporate clients · 8 to 9
Nov 7, 2025 to Mar 26, 2026
HNW clients · 142 to 196
Nov 7, 2025 to Mar 26, 2026
Individual clients · 1,269 to 2,028
Nov 7, 2025 to Mar 26, 2026
Discretionary RAUM · $603M to $727M
Nov 7, 2025 to Mar 26, 2026
HNW RAUM · $328M to $483M
Nov 7, 2025 to Mar 26, 2026
Individual RAUM · $270M to $242M
Nov 7, 2025 to Mar 26, 2026
Pension RAUM · 2433569.0 to unset
Nov 7, 2025 to Mar 26, 2026
RAUM · $603M to $727M
Nov 7, 2025 to Mar 26, 2026
Accounts · 2,483 to 2,652
Oct 14, 2024 to Apr 7, 2025
Corporate clients · 5 to 8
Oct 14, 2024 to Apr 7, 2025
HNW clients · 135 to 142
Oct 14, 2024 to Apr 7, 2025
Individual clients · 1,014 to 1,269
Oct 14, 2024 to Apr 7, 2025
Financial planning clients · 51-100 to 51-100
Oct 14, 2024 to Apr 7, 2025
Discretionary RAUM · $524M to $603M
Oct 14, 2024 to Apr 7, 2025
HNW RAUM · $279M to $328M
Oct 14, 2024 to Apr 7, 2025
Individual RAUM · $239M to $270M
Oct 14, 2024 to Apr 7, 2025
Pension RAUM · $1 to $2.4M
Oct 14, 2024 to Apr 7, 2025
RAUM · $524M to $603M
Oct 14, 2024 to Apr 7, 2025
Other offices · 1 to 0
Sep 30, 2024 to Oct 14, 2024
Other offices · 0 to 1
May 15, 2024 to Sep 10, 2024
Accounts · 2,608 to 2,483
Nov 27, 2023 to Mar 11, 2024
Advisory employees · 2 to 7
Nov 27, 2023 to Mar 11, 2024
Corporate clients · 7 to 5
Nov 27, 2023 to Mar 11, 2024
HNW clients · 68 to 135
Nov 27, 2023 to Mar 11, 2024
Individual clients · 2,540 to 1,014
Nov 27, 2023 to Mar 11, 2024
Pension plan clients · 40.0 to unset
Nov 27, 2023 to Mar 11, 2024
Assets in custody · 175246515.0 to unset
Nov 27, 2023 to Mar 11, 2024
Custody of client assets · true to false
Nov 27, 2023 to Mar 11, 2024
Employees · 7 to 10
Nov 27, 2023 to Mar 11, 2024
Insurance-licensed employees · 3 to 0
Nov 27, 2023 to Mar 11, 2024
Financial planning clients · 101-250 to 51-100
Nov 27, 2023 to Mar 11, 2024
State-registered IARs · 3 to 8
Nov 27, 2023 to Mar 11, 2024
Discretionary RAUM · $515M to $524M
Nov 27, 2023 to Mar 11, 2024
HNW RAUM · $145M to $279M
Nov 27, 2023 to Mar 11, 2024
Individual RAUM · $321M to $239M
Nov 27, 2023 to Mar 11, 2024
Pension RAUM · $45.6M to $1
Nov 27, 2023 to Mar 11, 2024
RAUM · $515M to $524M
Nov 27, 2023 to Mar 11, 2024
Accounts · 2,313 to 2,608
Dec 9, 2022 to Mar 27, 2023

Signals

9 dated events

T•••• R••••• C•••••• left T••••••••• C•••••• M••••••••• L•• for E••••• J•••• (registered 2024-09-13)
Aug 21, 2024 · advisor f••• change · fact
Bradley Donald Pence (Chief Compliance Officer) appeared on Schedule A of T••••••••• C•••••• M••••••••• L••
Mar 11, 2024 · Control person joined · fact
B Kyle Jackson (Owner) appeared on Schedule A of T••••••••• C•••••• M••••••••• L••
Mar 27, 2023 · Control person joined · fact
T••••••••• C•••••• M••••••••• L•• reported RAUM $492.9M, down 55% from $1.1B (2022-03-23 to 2022-05-01)
May 1, 2022 · RAUM change · derived
Robert Gardner Mark Anderson (Managing Member) no longer on Schedule A of T••••••••• C•••••• M••••••••• L•• (listed 2022-03-23, absent 2022-05-01)
May 1, 2022 · Control person left · inference
C•••• H• G••• left T••••••••• C•••••• M••••••••• L•• for P•••••• S••• P•••••••• L•• (registered 2022-04-03)
Apr 12, 2022 · advisor f••• change · fact
M••• R••••• G•••••• A••••••• left T••••••••• C•••••• M••••••••• L•• for P•••••• S••• P•••••••• L•• (registered 2022-04-01)
Apr 12, 2022 · advisor f••• change · fact
2 advisors left T••••••••• C•••••• M••••••••• L•• (Shoreline, WA) for P•••••• S••• P•••••••• L•• on the same day
Apr 12, 2022 · Team lift-out · derived
T••••••••• C•••••• M••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
Dec 15, 2011 · Succession (Item 4) · fact

Across DFX

shared identifiers only, never a name match

No identifier-backed link to the venture, private equity, family office or sponsor graphs.

How to reach

public business contact points only, each with its source

Business email: amy@tradewinds.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: brad@tradewinds.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: krista@tradewinds.comreportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 360-319-2595reportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 360-393-7365reportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 360-510-9956reportedpublished by the firm, firm site, Sep 15, 2026
f••• profile url: linkedin.com/company/tradewinds-capital-managementreportedpublic record, Form ADV, Sep 18, 2026
f••• website: T•••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
Principal office phone: 360-715-9000reportedpublic record, Form ADV, Aug 19, 2026
Contact form: tradewinds.com/contactreportedpublished by the firm, firm site, Sep 15, 2026

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: Independent wealth managerderiveda rule over Items 5.D and 7.A
RAUM per advisor: $104Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026