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••••••••• W••••• M•••••••••
Legal name T••••••••• A•••• M••••••••• L••
Latest filing Sep 16, 2026
First filing on the tape Dec 7, 2022 · 15 filings
SEC status approved since Jan 6, 2023
RAUM
$135M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$128M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$45.0M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$135M as of Feb 20, 2026
Mar 20, 2024$132M then
HNW client RAUM$47.9M as of Feb 20, 2026
Mar 20, 2024$40.5M then
State-registered IARs (5.B.3)4 as of Feb 20, 2026
Mar 20, 20244 then
Employees (5.A)4 as of Feb 20, 2026
Mar 20, 20245 then
Private funds1 as of Feb 20, 2026
Mar 20, 20241 then
RAUM -1.6% over the last fiscal yearIARs 4 to 4
Practice profile
derived from the filing of Sep 16, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $45.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 87derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $517,493derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -1.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.5%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $30.2M, 76 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$79.9M59%
- High-net-worth individuals$47.9M35%
- Pooled investment vehicles$7.3M5.4%
- Individual clients
- 232reported
- HNW clients
- 28reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 261reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $30.2M for 76 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.95 fund_share=0.05 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••••• A•••••••• T•••• | Portland, Or | Apr 23, 2023 | 11 y | 3 |
| C•••••••• S••••• D••••• | Portland, Or | Nov 29, 2023 | 19 y | 3 |
| J•••• P••• S••••••• | Portland, Or | Nov 30, 2023 | 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
- K••••• L•••••• P•••• to F••••• I•••••••••Mar 13, 2024 · RIA to RIA
Joined, latest
- J•••• P••• S••••••• from F•••••••• A•••••••• I••••••••• M•••••••••Nov 30, 2023 · RIA to RIA
- C•••••••• S••••• D••••• from F•••••••• A•••••••• I••••••••• M•••••••••Nov 29, 2023 · RIA to RIA
- B•••••• A•••••••• T•••• from F•••••••• A•••••••• I••••••••• M•••••••••Apr 23, 2023 · RIA to RIA
- K••••• L•••••• P•••• from F•••••••• A•••••••• I••••••••• M•••••••••Mar 9, 2023 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from F•••••••• A•••••••• I••••••••• M•••••••••Mar 9, 2023 · Portland, Or
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••••• H••••• E••••• F•••• L• | Hedge Fund | $7.5M | 26 | Dec 7, 2022 |
Owners and control persons
Schedule A and B, latest filing
- D•••••• C••••••••• S••••• · Principalcontrolsince 12/2022 · owns 75% or more
- P••••• C••••••••• A••••• · Chief Compliance Officersince 11/2024 · owns less than 5%
- S•••••••• J••••• P••• · Chief Operating Officersince 12/2022 · owns less than 5%
Related persons
Schedule D 7.A
- A••••• A•••• M••••••••• L••pooled vehicle sponsorn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Portland, Or · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Financial planning clients · 251-500 to 251-500Feb 20, 2026 to Sep 16, 2026
- Private funds · 1 to unsetFeb 20, 2026 to Sep 16, 2026
- Succession · false to unsetFeb 20, 2026 to Sep 16, 2026
- Accounts · 265 to 261Mar 24, 2025 to Feb 20, 2026
- Advisory activities · 3 to 4Mar 24, 2025 to Feb 20, 2026
- HNW clients · 32 to 28Mar 24, 2025 to Feb 20, 2026
- Assets in custody · unset to 30160706.0Mar 24, 2025 to Feb 20, 2026
- Custody of client assets · false to trueMar 24, 2025 to Feb 20, 2026
- Discretionary RAUM · $137M to $135MMar 24, 2025 to Feb 20, 2026
- HNW RAUM · $48.8M to $47.9MMar 24, 2025 to Feb 20, 2026
- Individual RAUM · $79.4M to $79.9MMar 24, 2025 to Feb 20, 2026
- Pooled vehicle RAUM · $9.1M to $7.3MMar 24, 2025 to Feb 20, 2026
- RAUM · $137M to $135MMar 24, 2025 to Feb 20, 2026
- Accounts · 261 to 265Jan 2, 2025 to Mar 24, 2025
- HNW clients · 25 to 32Jan 2, 2025 to Mar 24, 2025
- Individual clients · 235 to 232Jan 2, 2025 to Mar 24, 2025
- Assets in custody · 46401346.0 to unsetJan 2, 2025 to Mar 24, 2025
- Custody of client assets · true to falseJan 2, 2025 to Mar 24, 2025
- Employees · 5 to 4Jan 2, 2025 to Mar 24, 2025
- Financial planning clients · 251-500 to 251-500Jan 2, 2025 to Mar 24, 2025
- Discretionary RAUM · $132M to $137MJan 2, 2025 to Mar 24, 2025
- HNW RAUM · $40.5M to $48.8MJan 2, 2025 to Mar 24, 2025
- Individual RAUM · $83.6M to $79.4MJan 2, 2025 to Mar 24, 2025
- Pooled vehicle RAUM · $7.5M to $9.1MJan 2, 2025 to Mar 24, 2025
- RAUM · $132M to $137MJan 2, 2025 to Mar 24, 2025
- Accounts · 517 to 261Mar 13, 2024 to Mar 20, 2024
- Advisory employees · 3 to 4Mar 13, 2024 to Mar 20, 2024
- Advisory activities · 2 to 3Mar 13, 2024 to Mar 20, 2024
- HNW clients · 28 to 25Mar 13, 2024 to Mar 20, 2024
- Individual clients · 225 to 235Mar 13, 2024 to Mar 20, 2024
- Pooled vehicle clients · unset to 1.0Mar 13, 2024 to Mar 20, 2024
- Assets in custody · $11.2M to $46.4MMar 13, 2024 to Mar 20, 2024
- Employees · 4 to 5Mar 13, 2024 to Mar 20, 2024
- Financial planning clients · 0 to 251-500Mar 13, 2024 to Mar 20, 2024
- State-registered IARs · 3 to 4Mar 13, 2024 to Mar 20, 2024
- Other offices · 2 to 1Mar 13, 2024 to Mar 20, 2024
- Discretionary RAUM · $110M to $132MMar 13, 2024 to Mar 20, 2024
- HNW RAUM · $42.9M to $40.5MMar 13, 2024 to Mar 20, 2024
- Individual RAUM · $66.6M to $83.6MMar 13, 2024 to Mar 20, 2024
- Pooled vehicle RAUM · unset to 7500000.0Mar 13, 2024 to Mar 20, 2024
Signals
3 dated events
- K••••• L•••••• P•••• left T••••••••• W••••• M••••••••• for F••••• I••••••••• (registered 2024-03-18)Mar 13, 2024 · Advisor changed firm · fact
- 3 advisors left F•••••••• A•••••••• I••••••••• M••••••••• (Portland, OR) for T••••••••• W••••• M••••••••• on the same dayMar 9, 2023 · Team lift-out · derived
- T••••••••• W••••• M••••••••• filed its initial SEC registration (Form ADV)Dec 7, 2022 · 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
- admin@tradewindswm.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 503-673-2828reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/tradewinds-wmreportedpublic record, Form ADV, Sep 18, 2026
- Website
- tradewindswm.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 503-673-2828reportedpublic record, Form ADV, Sep 16, 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
- $45.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026