TRADEWINDS CAPITAL MANAGEMENT, LLC

CRD 145934File 801-68789

APPROVED

Retail clients

Filing as of Aug 19, 2026

Feed vintage Oct 1, 2026

Regulatory AUM

$727.3M

Above cohort median (national)

Discretionary AUM

$727.3M

Clients

2,238

2,268 accounts

Employees

Above cohort median in WA

Identity & registration

ADV Item 1

Organization form: Limited Liability Company
Firm type: Registered
SEC region: SFRO
Registration date: Feb 6, 2008
Principal office: 2211 RIMLAND DRIVE, SUITE 401, BELLINGHAM, WA, 98226
Phone: 360-715-9000
Website: HTTPS://TRADEWINDS.COM/

Assets & accounts

ADV Item 5F

Total regulatory AUM: $727.3M
Discretionary AUM: $727.3M
Non-discretionary AUM: $0
Discretionary accounts: 2,268
Non-discretionary accounts: 0
Total accounts: 2,268
AUM per client: $325K

Clients by type

ADV Item 5D

Client type	Clients	AUM
Other	9	$1.8M
Charitable organizations	5	$1.0M
High net worth individuals	196	$483.0M
Individuals (other than high net worth individuals)	2,028	$241.6M

Compensation & activities

ADV Items 5E, 5G

Compensation

Fixed fees
Hourly charges
A percentage of assets under your management

Advisory activities

Financial planning services
Portfolio management for other
Portfolio management for businesses
Portfolio management for individuals and/or small businesses

Custody

ADV Item 9

Firm Custody Cash: No
Firm Custody Assets: No
Firm Custody Clients: No
Firm Custody Securities: No
Related Person Custody Cash: No
Related Person Custody Assets: No
Related Person Custody Clients: No
Related Person Custody Securities: No

Disclosure events

ADV Item 11

This firm answered no to every Item 11 disclosure question in this filing.

Filed changes

Date	Field	From	To	Change
Apr 1, 2026	Clients	1,419	2,238	increased by819
Apr 1, 2026	AUM	$602,785,057	$727,324,070	increased by$124,539,013
Apr 1, 2026	Accounts	2,652	2,268	decreased by384
May 1, 2025 vs Oct 1, 2022	Employees	6	10	increased by4
May 1, 2025 vs Oct 1, 2022	Custody	Yes	No
May 1, 2025 vs Oct 1, 2022	Clients	2,330	1,419	decreased by911
May 1, 2025 vs Oct 1, 2022	AUM	$492,913,967	$602,785,057	increased by$109,871,090
May 1, 2025 vs Oct 1, 2022	Accounts	2,313	2,652	increased by339
May 1, 2022	Employees	12	6	decreased by6
May 1, 2022	Clients	4,305	2,330	decreased by1,975
May 1, 2022	AUM	$1,105,073,555	$492,913,967	decreased by$612,159,588
May 1, 2022	Accounts	4,257	2,313	decreased by1,944
Apr 1, 2022	Clients	1,572	4,305	increased by2,733
Apr 1, 2022	AUM	$1,009,631,757	$1,105,073,555	increased by$95,441,798
Apr 1, 2022	Accounts	3,879	4,257	increased by378

On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.

See plans that list “TRADEWINDS CAPITAL” as a service provider on 5500mcp →

Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“TRADEWINDS CAPITAL” may also match similarly-named firms). Confirm identity against each filing.

Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.