SourcingSourcing

TRADEWINDS ASSET MANAGEMENT, LLC

B54
CRD 323879·SEC 801-127142·PORTLAND, OR
AUM
$135.1M
$100M-$500M
Est. Revenue
$1.4M
@ 1% on AUM
Est. EBITDA
$405K
@ 30% margin
Est. Deal Value
$3.2M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
TRADEWINDS ASSET MANAGEMENT, LLC
CRD
323879
SEC file #
801-127142
EIN
—
DBA names
Tradewinds Wealth Management

Economics

AUM
$135.1M
AUM band
$100M-$500M
AUM trajectory
'25'26
$137.3M → $135.1M▼ -2%
Client mix
Individuals Other232
Individuals High Net Worth28
Pooled Investment Vehicles1

Operations

Employees (total)
4
Advisory staff (per ADV)
4
Advisory staff (5-yr trend)
'25'26
4 advisors → 4 advisors▬ 0%
Primary office
PORTLAND OR
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — pooled vehiclesSelection of other advisers
Fee basis
% of AUMPerformance-based fees

Filings

Latest ADV filing
02/20/2026
ADV-W filed at
—
Website
facebook.com/tradewindswm(social)

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
D'URSO, CHRISTIAN, SAMUEL
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
3
Control Persons
D'URSO, CHRISTIAN, SAMUEL
PELOS, CONSTANTINE, ANDREW
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
social_url_excluded:facebook.com

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Local market & wealth

Rank targets by how wealthy the local market is

Soi High Wealth Score
0.3899
Soi Zip Pct 200k Plus
0.1798
Soi Zip Returns 200k Plus
1,780
Soi Zip Total AGI
1,406,539
Fdic Zip Total Deposits
4,710,983,000
Fdic Zip Branch Count
74
Fdic Zip Top Banks
Bank of America, National Association
Wells Fargo Bank, National Association

Compliance & brand

Firm Registration Status
active

All other collected signals (19)

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
3
Bc Firm IAR Count
3
Custodian Candidates
Full
Charles Schwab6
E*trade4
Interactive Brokers3
Fdic Zip Branches Raw
Wells Fargo Bank, National AssociationPortland, OR
Wells Fargo Bank, National AssociationPortland, OR
Fdic Zip HHI
2731.6
Fdic Zip Top Bank Share Pct
42.33
Fdic Zip Year
2023
Firm Has Custody
Yes
Mailing Office Differs
No
Soi Year
2022
Soi Zip Distribution
Stub 1
AGI20,349
Returns1,720
Stub 2
AGI64,489
Returns1,710
Stub 3
AGI94,095
Returns1,530
Soi Zip Total Business Income
54,885
Soi Zip Total Cap Gains
114,263
Soi Zip Total Dividends
67,060
Soi Zip Total Returns
9,900
Top Owner CRD
5304397
Trust Company Affiliate
No

People (4)

4
D'URSO, CHRISTIAN, SAMUEL
IAR · Direct Owner · 87.5%
5304397
Spangler, James, Paul
IAR · Executive Officer · 2.5%
7237397
PELOS, CONSTANTINE, ANDREW
Executive Officer · 2.5%
1074631
BRANDON ALEXANDER TRANK
IAR
6533321