Data / Investment advisers / North Carolina / Tradewinds, LLC
Tradewinds, LLC, Raleigh, NC: $659 million AUM, SEC registered investment adviser
Tradewinds, LLC is an SEC registered investment adviser with its main office in Raleigh, North Carolina and reports $659 million in regulatory assets under management in its Form ADV filed March 13, 2026. Its clients include high net worth individuals, individuals and pension and profit sharing plans. It is paid through a percentage of assets under management and fixed fees.
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- Registration
- SEC registered investment adviser
- CRD number
- 316415
- SEC file number
- 801-122614
- SEC status
- Approved, effective November 4, 2021
- Main office
- 4600 Marriott Dr. Suite 200, Raleigh, NC 27612
- Phone
- (984) 257-9091
- Regulatory AUM
- $659,399,150 in the Form ADV filed March 13, 2026
- Discretionary AUM
- $659,399,150
- Accounts
- 1,672
- Employees
- 12, of which 9 give investment advice
- Form of organization
- Limited Liability Company
- Paid through
- a percentage of assets under management, fixed fees
- Form ADV Item 11 disclosures
- None reported
- Latest Form ADV filing
- March 13, 2026
- SEC record
- Investment Adviser Public Disclosure
Clients
Client types the adviser reports in Form ADV item 5.D, with the AUM it attributes to each.
| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 167 | $518.3 million |
| Individuals (other than high net worth individuals) | 328 | $117.1 million |
| Pension and profit sharing plans | 10 | $14.9 million |
| Corporations or other businesses | Fewer than 5 | $9.1 million |
AUM in the SEC's monthly files
Each change in the AUM the adviser reported across the monthly SEC files held here, with the first file that shows the new value.
| First in the file of | AUM | Form ADV filed |
|---|---|---|
| April 1, 2026 | $659.4 million | March 13, 2026 |
| December 1, 2025 | $560.2 million | October 24, 2025 |
Other advisers in Raleigh
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| Founders Financial Alliance, LLC | Raleigh | $1.19 billion | Not listed | adviserinfo.sec.gov |
| Cardinal Capital Management Inc | Raleigh | $1.03 billion | Not listed | adviserinfo.sec.gov |
| Capital Investment Counsel Inc | Raleigh | $1.02 billion | Not listed | adviserinfo.sec.gov |
| Ifc Core Investment Management LLC | Raleigh | $742.4 million | Not listed | adviserinfo.sec.gov |
| Cordgrass Capital Advisors, LLC | Raleigh | $729.9 million | Not listed | adviserinfo.sec.gov |
| Collegiate Capital Management, Inc. | Raleigh | $653 million | Not listed | adviserinfo.sec.gov |
| Capital Advisers, Inc. | Raleigh | $620 million | Not listed | adviserinfo.sec.gov |
| Fortress Private Ledger, LLC | Raleigh | $584 million | Not listed | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in Raleigh, NC
- Investment advisers in North Carolina
- Advisers with $500 million to $1 billion in AUM
- Advisers serving high net worth individuals
- Advisers serving individuals
- Tradewinds, LLC on the SEC's adviser search
Updated November 7, 2026. Read from the SEC's Form ADV data files for investment advisers. Public data published by the US Securities and Exchange Commission (US government work). Advisers report these values themselves in Form ADV, and neither the SEC nor the states approve or guarantee them. AUM is regulatory assets under management as the adviser reported it in Form ADV item 5.F, which can differ from the AUM a firm quotes elsewhere. Exempt reporting advisers do not report AUM. Office address, phone and website are the adviser's main office as filed; a firm that files its main office as a private residence shows no street address or phone. An Item 11 disclosure is a reported event, not a finding about the firm today. Details for each firm are on the SEC's Investment Adviser Public Disclosure site. This page uses SEC data and is not endorsed or certified by the SEC. Free to reuse with credit to SpecStream under CC BY 4.0. Spot a wrong value? Write to [email protected] with the link to this page.