Tradewinds Investment Advisors, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Tradewinds Investment Advisors, LLC provides separate-account investment management primarily to individuals and individual trusts and states it is seeking to serve institutional investors including corporations, pension and profit-sharing plans, 401(k) plans, foundations, endowments, and estates. The firm manages assets using publicly traded equities, fixed income, mutual funds, ETFs, ETNs and options in trading-only accounts and is registered with Kansas and Minnesota.
Portfolios are constructed around client-specific factors such as age, purpose of the funds, risk tolerance, income and withdrawal needs, with an emphasis on asset allocation and diversification (the adviser identifies a typical equity holding range of 20–30 names). The investment process combines fundamental analysis for security selection with technical analysis for trade timing, and the adviser accepts limited discretionary authority to trade on clients’ behalf.
Compared with many solo independent advisers, Tradewinds explicitly offers and is pursuing institutional portfolio management despite its modest scale (about $2.34 million in assets across eight client accounts as of year-end 2025). The firm also documents several formal controls — a $25,000 surety bond, $1,000,000 professional liability insurance, pre‑clearance and reporting for personal trades, a proxy‑voting policy, and the use of Charles Schwab Advisor Services for custody and execution — that distinguish its operational practices from many peers.
Client services
Expertise
Fee options
$0 - $5,000,000: 1.00% annually $5,000,001 - $30,000,000: 0.75% annually $30,000,001+: 0.60% annually
Main office
Eudora KS
Advisors at this office
1
Most active in
Kansas · Minnesota
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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