TRADEWINDS CAPITAL MANAGEMENT, LLC

B51
CRD 145934·SEC 801-68789·BELLINGHAM, WA
AUM
$727.3M
$500M-$1B
Est. Revenue
$7.3M
@ 1% on AUM
Est. EBITDA
$2.2M
@ 30% margin
Est. Deal Value
$17.5M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
TRADEWINDS CAPITAL MANAGEMENT, LLC
CRD
145934
SEC file #
801-68789
EIN
352429157
DBA names

Economics

AUM
$727.3M
AUM band
$500M-$1B
AUM trajectory
'20'26
$764.3M → $727.3M▼ -5%
Client mix
Individuals Other2,028
Individuals High Net Worth196
Corporations9
Charitable Organizations5

Operations

Employees (total)
10
Advisory staff (per ADV)
7
Advisory staff (5-yr trend)
'20'26
4 advisors → 7 advisors▲ +75%
Primary office
BELLINGHAM WA
Branches

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — businessesPension consulting
Fee basis
% of AUMHourly chargesFixed fees

Filings

Latest ADV filing
03/26/2026
ADV-W filed at

Compliance

Disclosures (firm)
0
Trademark
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
ENGEBRETSON, BRYANT, JAMES
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
3
Control Persons
ENGEBRETSON, BRYANT, JAMES
JACKSON, KYLE, B
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
fallback_guess:tradewinds.com

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0001616026
Edgar Registered
Yes
Edgar Filing Count
53
Edgar First Filing Date
2014-08-14
Edgar Last Filing Date
2026-04-15
Edgar 13f Count
51
Edgar 13f Latest AUM Estimate
Filing Date2026-04-15
Accession0001616026-26-000005

Compliance & brand

Firm Registration Status
active

All other collected signals (12)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
8
Bc Firm IAR Count
8
Custodian Candidates
Full
Charles Schwab6
E*trade4
Edgar Addresses
Mailing
2211 RIMLAND DRIVESUITE 401BELLINGHAM, WA 98226
Business
2211 RIMLAND DRIVESUITE 401BELLINGHAM, WA 98226
Edgar EIN
352429157
Edgar Recent Filings
13F-HR2026-04-15 · 0001616026-26-000005
13F-HR2026-01-14 · 0001616026-26-000002
Firm Has Custody
No
Mailing Office Differs
No
Top Owner CRD
2443248
Trust Company Affiliate
No