TradeWinds Wealth Management
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Disclosures

Regulatory disclosures

Investment Advisory Services offered through TradeWinds Asset Management, LLC, an SEC Registered Investment Advisor.

General information

TradeWinds Asset Management, LLC (doing business as TradeWinds Wealth Management) is an investment advisor registered with the U.S. Securities and Exchange Commission. Registration does not imply a certain level of skill or training, and it does not constitute an endorsement of the firm by the Commission.

The content on this website is provided for general informational and educational purposes only. It is not an offer to buy or sell any security, nor is it personalized investment, tax, or legal advice. Nothing here takes into account the specific objectives, financial situation, or needs of any individual reader. You should not act on any of it without consulting a qualified professional about your own circumstances.

Investment risk

All investing involves risk, including the possible loss of principal. Past performance is not indicative of, and does not guarantee, future results. No investment strategy, including diversification or any process described as active risk management, assures a profit or protects against loss in a declining market.

Where this website describes an investment strategy as seeking to manage risk, reduce exposure, or limit drawdowns, those statements describe the objective of the strategy and the process used to pursue it. They are not predictions, projections, or guarantees of any particular outcome. A strategy designed to reduce exposure in deteriorating conditions may reduce exposure at times that prove unfavorable, and may lag a fully invested portfolio during rising markets.

This website does not present actual, hypothetical, or backtested investment performance. Information about the firm's strategies, their risks, and their historical results is available from the firm directly, accompanied by the disclosures required in that context.

Form ADV and Form CRS

Detailed information about TradeWinds Asset Management, LLC, including its advisory services, fee schedule, disciplinary history, conflicts of interest, and the backgrounds of its personnel, is contained in its Form ADV Part 2A brochure and its Form CRS client relationship summary. Both documents are available at no cost:

TradeWinds does not provide tax or legal advice. Discussions of tax treatment, Roth conversions, charitable structures, or estate planning are general in nature and reflect our understanding of current rules, which change. Consult your tax professional or attorney before acting.

Estate planning documents referenced on this website, including those offered through the Generations program, are prepared by a third-party provider. TradeWinds does not practice law, does not prepare legal documents, and does not supervise the legal services provided by that third party.

Federal employee benefits

TradeWinds is a private firm. It is not affiliated with, endorsed by, authorized by, or in any way officially connected with the U.S. federal government, the Office of Personnel Management, the Thrift Savings Plan, the Federal Retirement Thrift Investment Board, or any federal agency. Content describing the Federal Employees Retirement System, the Civil Service Retirement System, the Thrift Savings Plan, FEHB, or FEGLI is general information based on publicly available rules and should be verified against official sources and your own agency's guidance.

Educational workshops on federal benefits are provided at no cost and no products are sold at them. Attendance creates no advisory relationship.

Third-party relationships and links

Client assets are held at Charles Schwab, an unaffiliated qualified custodian. TradeWinds does not take custody of client funds or securities. Schwab provides account statements directly to clients, and we encourage clients to review them against any reporting we provide.

Management of workplace retirement plan accounts, where available, is implemented through an unaffiliated third-party technology provider. Availability depends on the plan and its recordkeeper.

Links to third-party websites are provided for convenience. TradeWinds does not control, endorse, or accept responsibility for the content of any linked site.

Testimonials and endorsements

This website does not currently present client testimonials or third-party endorsements. Should any be published in future, they will appear with the disclosures required by Rule 206(4)-1 under the Investment Advisers Act, including whether the person giving it is a client, whether any compensation was provided, and any material conflicts of interest arising from the relationship.

Interactive tools

The retirement readiness assessment on this site is an educational self-evaluation tool. It scores responses that you supply about yourself; it does not review your accounts, verify any information, or produce a financial plan. Results are not personalized investment, tax, or legal advice, are not predictive of any outcome, and should not be relied on as the basis for any decision.

Questions

Direct any question about these disclosures to admin@tradewindswm.com or (503) 673-2828. Our office is at 5550 S Macadam Avenue, Suite 110, Portland, OR 97239.