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.
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SEC-registered adviser
T••••••••• L••
Latest filing Mar 13, 2026
First filing on the tape Oct 3, 2021 · 12 filings
SEC status approved since Nov 4, 2021
RAUM
$659M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$635M individuals and HNW
Advisors
11
registered through the firm on IAPD
RAUM per advisor
$59.9M
derived; firm RAUM over IAPD count
Employees
12
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$659M as of Mar 13, 2026
Feb 4, 2022$267M then
HNW client RAUM$518M as of Mar 13, 2026
Feb 4, 2022$221M then
State-registered IARs (5.B.3)10 as of Mar 13, 2026
Feb 4, 20225 then
Employees (5.A)12 as of Mar 13, 2026
Feb 4, 20225 then
Private funds: no history
RAUM +18% over the last fiscal year+40% a year over threeIARs 9 to 10
Practice profile
derived from the filing of Mar 13, 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
- $59.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 45derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $394,377derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 11.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +11%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.0%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $72.5M, 137 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$518M79%
- Individuals$117M18%
- Pension and profit-sharing plans$14.9M2.3%
- Corporations and businesses$9.1M1.4%
- Individual clients
- 328reported
- HNW clients
- 167reported
- Pension plan clients
- 10reported
- Charitable clients
- n/areported
- Accounts
- 1,672reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $72.5M for 137 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
11 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••••• M•••••••• B•••• | Raleigh, Nc | Jan 10, 2022 | 34 y | 1 |
| S•••••• M•••• R••• | Raleigh, Nc | Feb 4, 2022 | 44 y | 4 |
| S•••••••• R••• W•••••••Certified Financial Planner | Raleigh, Nc | Feb 4, 2022 | 21 y | 2 |
| T•••••• M• W••••••Certified Financial Planner | Raleigh, Nc | Feb 4, 2022 | 23 y | 1 |
| T••••• L••• N••••• | Raleigh, Nc | Feb 4, 2022 | 26 y | 1 |
| M••••• B•••••• H••••••Certified Financial Planner | Raleigh, Nc | May 2, 2022 | 10 y | 1 |
| T••• W•••••• S•••• | Raleigh, Nc | May 16, 2024 | 26 y | 3 |
| J•••• E••••• B•••• | Raleigh, Nc | Aug 20, 2024 | 10 y | 1 |
| R•••••• T••••• | Raleigh, Nc | Jan 5, 2026 | 10 y | 2 |
| E••• I••••••• S•••••••• | Raleigh, Nc | Mar 8, 2026 | 12 y | 1 |
| A••••• B••••••• M••••Certified Financial Planner | Raleigh, Nc | Sep 11, 2026 | 12 y | 1 |
Advisor movement
0 left, 3 joined in 12 months
net +3 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- A••••• B••••••• M•••• from C•••••••Sep 11, 2026 · Other
- E••• I••••••• S•••••••• from M••••• S••••••Mar 8, 2026 · Wirehouse to independent RIA
- R•••••• T••••• from M••••• S••••••Jan 5, 2026 · Wirehouse to independent RIA
- J•••• E••••• B•••• from F••••••• P••••••• A•• W•••••••• A•••••••Aug 20, 2024 · Affiliated broker-dealer or bank to independent RIA
- T••• W•••••• S•••• from W•••• F•••• A•••••••May 16, 2024 · Wirehouse to independent RIA
- M••••• B•••••• H•••••• from V••••••• A•••••••• I•••May 2, 2022 · Affiliated broker-dealer or bank to independent RIA
- S•••••••• R••• W••••••• from W•••• F•••• A•••••••Feb 4, 2022 · Wirehouse to independent RIA
- T•••••• M• W•••••• from W•••• F•••• A•••••••Feb 4, 2022 · Wirehouse to independent RIA
- T••••• L••• N••••• from W•••• F•••• A•••••••Feb 4, 2022 · Wirehouse to independent RIA
- S•••••• M•••• R••• from W•••• F•••• A•••••••Feb 4, 2022 · Wirehouse to independent RIA
- M••••• M•••••••• B•••• from W•••• F•••• A•••••••Jan 10, 2022 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 5 joined from W•••• F•••• A•••••••Jan 26, 2022 · Burlington, Nc
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••••• I••• D•••••• · Chief Compliance Officercontrolsince 10/2021 · owns less than 5%
- W••••••• T••••••• M• · Chief Executive Officercontrolsince 10/2021 · owns 75% or more
- W•••••••• S••••••••• R••• · Presidentcontrolsince 05/2023 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Raleigh, Nc · principal | 11 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,633 to 1,672Oct 24, 2025 to Mar 13, 2026
- HNW clients · 149 to 167Oct 24, 2025 to Mar 13, 2026
- Individual clients · 327 to 328Oct 24, 2025 to Mar 13, 2026
- Pension plan clients · unset to 10.0Oct 24, 2025 to Mar 13, 2026
- Assets in custody · $85.8M to $72.5MOct 24, 2025 to Mar 13, 2026
- Employees · 11 to 12Oct 24, 2025 to Mar 13, 2026
- Financial planning clients · 51-100 to 251-500Oct 24, 2025 to Mar 13, 2026
- State-registered IARs · 9 to 10Oct 24, 2025 to Mar 13, 2026
- Discretionary RAUM · $560M to $659MOct 24, 2025 to Mar 13, 2026
- HNW RAUM · $429M to $518MOct 24, 2025 to Mar 13, 2026
- Individual RAUM · $120M to $117MOct 24, 2025 to Mar 13, 2026
- Pension RAUM · $8.1M to $14.9MOct 24, 2025 to Mar 13, 2026
- RAUM · $560M to $659MOct 24, 2025 to Mar 13, 2026
- Accounts · 1,014 to 1,633Apr 30, 2024 to Mar 28, 2025
- Advisory employees · 6 to 9Apr 30, 2024 to Mar 28, 2025
- HNW clients · 104 to 149Apr 30, 2024 to Mar 28, 2025
- Individual clients · 175 to 327Apr 30, 2024 to Mar 28, 2025
- Assets in custody · $31.2M to $85.8MApr 30, 2024 to Mar 28, 2025
- Employees · 8 to 11Apr 30, 2024 to Mar 28, 2025
- Financial planning clients · 51-100 to 51-100Apr 30, 2024 to Mar 28, 2025
- State-registered IARs · 6 to 9Apr 30, 2024 to Mar 28, 2025
- Discretionary RAUM · $294M to $560MApr 30, 2024 to Mar 28, 2025
- HNW RAUM · $234M to $429MApr 30, 2024 to Mar 28, 2025
- Individual RAUM · $56.7M to $120MApr 30, 2024 to Mar 28, 2025
- Pension RAUM · $1.2M to $8.1MApr 30, 2024 to Mar 28, 2025
- RAUM · $294M to $560MApr 30, 2024 to Mar 28, 2025
- Accounts · 884 to 1,014Nov 8, 2023 to Mar 25, 2024
- Advisory activities · 2 to 3Nov 8, 2023 to Mar 25, 2024
- HNW clients · 93 to 104Nov 8, 2023 to Mar 25, 2024
- Individual clients · 148 to 175Nov 8, 2023 to Mar 25, 2024
- Employees · 7 to 8Nov 8, 2023 to Mar 25, 2024
- Financial planning clients · 0 to 51-100Nov 8, 2023 to Mar 25, 2024
- Other offices · 1 to 0Nov 8, 2023 to Mar 25, 2024
- Discretionary RAUM · $243M to $294MNov 8, 2023 to Mar 25, 2024
- HNW RAUM · $207M to $234MNov 8, 2023 to Mar 25, 2024
- Individual RAUM · $33.4M to $56.7MNov 8, 2023 to Mar 25, 2024
- Pension RAUM · $133,708 to $1.2MNov 8, 2023 to Mar 25, 2024
- RAUM · $243M to $294MNov 8, 2023 to Mar 25, 2024
- Accounts · 740 to 884Feb 4, 2022 to Mar 28, 2023
- Advisory employees · 5 to 6Feb 4, 2022 to Mar 28, 2023
Signals
4 dated events
- T••••••••• L•• reported RAUM $560.2M, up 91% from $293.9M (2024-04-30 to 2025-03-28)Mar 28, 2025 · RAUM change · derived
- Ross Stephanie Williams (President) appeared on Schedule A of T••••••••• L••Mar 25, 2024 · Control person joined · fact
- 5 advisors left W•••• F•••• A••••••• (Burlington, NC) for T••••••••• L•• on the same dayJan 26, 2022 · Team lift-out · derived
- T••••••••• L•• filed its initial SEC registration (Form ADV)Oct 3, 2021 · First SEC registration · 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
- hello@tradewinds.globalreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 984-257-9091reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- tradewinds.globalreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 984.257.9091reportedpublic record, Form ADV, Mar 13, 2026
- Contact form
- tradewinds.global/contactreportedpublished by the firm, firm site, Sep 17, 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
- $59.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026