A complete list of active advisors currently associated with Tradewinds Investment Advisors, LLC

Warmer can help you find a great advisor at Tradewinds Investment Advisors, LLC or one who fits your needs even better.

Tradewinds Investment Advisors provides separate-account investment management to individuals and individual trusts and accepts institutional clients such as pension plans, foundations, endowments and 401(k) plans. The firm manages publicly traded equities, fixed income, mutual funds, ETFs, ETNs and options, operates on a discretionary "trading-only" basis, and charges asset-based fees billed quarterly in arrears; it reports roughly $2.34 million in client assets across eight client accounts. The firm’s investment process emphasizes asset allocation and diversification tailored to a client’s age, purpose for the funds, risk tolerance and income or withdrawal needs, using fundamental analysis to select equities and technical analysis to time trades. Portfolios typically target broad diversification (the brochure references 20–30 equity holdings as a guideline) and may use mutual funds or ETFs for smaller accounts while varying fixed-income maturities from cash equivalents to 30-year bonds. What stands out for a small, state-registered adviser is its stated readiness to serve institutional clients alongside individuals, and a compliance-heavy operational setup: pre-clearance and reporting requirements for personal trades, a proxy-voting policy, custodial arrangements and block-trade allocation practices with Charles Schwab, and maintained protections including a $25,000 surety bond and $1,000,000 professional liability insurance. The firm also limits its authority to trading only (it does not accept fund-transfer or withdrawal authority) and discloses procedures for reviewing unusual account activity and correcting trading errors.

To learn more about the advisors currently working at Tradewinds Investment Advisors, LLC, click on their names below to view their profiles, or click here to see them all on a map. Or, if you tell us about your needs, Warmer can help you find the best advisor for you.

Name	Location	Years of experience
Mark Ferguson	Eudora, KS	12

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