Tradewinds, LLC

TradeWinds, LLC is a registered investment adviser founded in 2021, providing financial advisory and investment management services to individual investors. The firm offers comprehensive financial planning services, including intergenerational family planning, and wealth management services on a discretionary basis. TradeWinds customizes client portfolios with a mix of individual equity securities, mutual funds, and ETFs based on clients' financial situations, objectives, and risk tolerance. The firm may also manage assets held in retirement plans and recommend rollovers to IRAs. TradeWinds charges fees based on assets under management, with rates ranging from 0.75% to 2.25%. The firm acts as a fiduciary for retirement plan accounts, providing investment advice and asset allocation models. TradeWinds does not provide legal, accounting, or tax advice. The firm engages in brokerage practices with Trade-PMR and First Clearing, providing access to institutional trading services. TradeWinds has a Code of Ethics to ensure compliance and transparency in personal securities transactions. The firm does not accept compensation for client referrals and has no disciplinary information to disclose. Clients' assets are held by a qualified custodian, and TradeWinds has investment discretion over client accounts. The firm votes client securities through the Broadridge ProxyEdge platform and has no financial conditions impairing its ability to meet commitments.