North Wind and Sun Advisory LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
North Wind and Sun provides wealth management services to individuals and high‑net‑worth clients, offering both discretionary and non‑discretionary portfolio management alongside comprehensive financial planning and consulting. The firm describes constructing diversified portfolios primarily using low‑cost mutual funds and ETFs, while also noting it may incorporate individual stocks, bonds, and margin transactions when appropriate.
The adviser emphasizes a long‑term, fundamental analysis approach to investing, with ongoing portfolio monitoring and formal reviews generally at least annually; clients may place reasonable restrictions on investments. Financial planning engagements may result in a written plan or consultation (typically completed within six months) and the firm may refer clients to attorneys, accountants, or other specialists as part of those services.
Compared with peers in the “no active advisors” category, the firm’s explicit combination of individualized portfolio management and standalone financial planning is statistically uncommon, and it discloses that it does not manage private funds or charge performance‑based fees. The brochure also highlights potential conflicts and operational features worth noting for prospective clients: the principal maintains a separate insurance practice that can generate commission income and the firm participates in an institutional custody platform that provides software, research, and other indirect benefits.
Client services
Expertise
Fee options
$0 - $250,000: 1.30% $250,000 - $500,000: 1.25% $500,000 - $1,000,000: 1.14% $1,000,000 - $2,500,000: 0.93% $2,500,000 - $5,000,000: 0.72% $5,000,000 - $10,000,000: 0.51% $10,000,000+: 0.40%
Fee-only: Fee-only advisory fees based on assets under management; no commissions on securities transactions
Main office
Buckeye AZ
Advisors at this office
1
Most active in
Arizona
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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