Tradewinds Global Investors, LLC (Los Angeles)


Tradewinds Global Investors, LLC is a large advisory firm based in Los Angeles. It manages $3.02 billion of regulatory assets for 3,589 client accounts. It has been registered with the SEC as an adviser since 2007 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 49 other states.

Tradewinds Global Investors provides portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled investment vehicles, and portfolio management for businesses and institutional clients. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Tradewinds Global Investors: assets under management

The assets under management (AUM) of Tradewinds Global Investors, LLC is $3.02 billion, all of which is managed in discretionary accounts. The firm's AUM has gone down by -91% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $3.02 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $840.6 thousand each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Tradewinds Global Investors, LLC for their services and products based on a percentage of assets under management and performance-based fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Tradewinds Global Investors, LLC

Tiaa Board Of Overseers joined the executive team most recently as the Shareholder.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Michael Casares Mendez Chief executive officer 1 Dec 2005 Other 2273279
David Bernhard Iben Chief investment officer & managing director 1 Jan 2006 Other 4571858
Llc Nuveen Tradewinds Holdings Managing member 1 Feb 2006 75% - 100% 02-0767175
Nwq Holdings Llc Managing member 1 Feb 2006 75% - 100% 02-0767175
Paul James Hechmer Managing director, executive committee member, portfolio manager 1 Feb 2006 Other 2826791
Llc Nwq/Tradewinds Holdings Managing member 1 Feb 2006 75% - 100% 02-0767175
Llc Nuveen Affiliates Holdings Managing member 1 Feb 2006 75% - 100% 02-0767175
Jane Katz Crist Chief compliance officer 1 Jan 2007 Other 5286589
Constance Grace Lawton Chief operating officer 1 Feb 2008 Other 1083774
Constance Grace Lawton Co-president and executive managing director 1 Nov 2008 Other 1083774
Leora R. Weiner Senior vice president, assistant general counsel and chief compliance officer 1 Aug 2010 Other 4839750
Leora Rebecca Weiner Senior vice president, assistant general counsel and chief compliance officer 1 Aug 2010 Other 4839750
Rosa Emilia Alejos Executive managing director, co-chief investment officer, portfolio manager and equity analyst 1 Mar 2012 Other 5613414
Andrew John Thelen Executive managing director, co-chief investment officer, portfolio manager and equity analyst 1 Mar 2012 Other 4766265
Jeffrey Patrick Cusack Executive managing director, president 1 Mar 2014 Other 1630886
Mary Ann C. Iudice Chief compliance officer 1 Jun 2014 Other 2796437

Indirect Owners

The SEC currently registers 25 indirect owners.

Name Entity Date acquired Ownership Employer ID
Inc. Nuveen Investments Managing member 1 Feb 2006 75% - 100% 36-3817266
Nuveen Investments Inc. Managing member 1 Feb 2006 75% - 100% 363817266
Inc. Nuveen Holdings Shareholder 1 Nov 2007 75% - 100% 26-0373324
L.P. Madison Dearborn Capital Partners V A Member 1 Nov 2007 75% - 100% 20-3771357
L.P. Madison Dearborn Partners V A&C General partner 1 Nov 2007 Other 20-3771466
Llc Mdcp Holdco (Windy) Member majority manager 1 Nov 2007 25% - 50% 26-1187203
Inc. Merrill Lynch & Co. Owner 1 Nov 2007 75% - 100% 13-2740599
Inc. Merrill Lynch Group Owner 1 Nov 2007 75% - 100% 13-3596352
Lp Mlgpe Fund Us Ii Owner 1 Nov 2007 75% - 100% 26-0667033
Lp Mlgpe Partners Ii General partner 1 Nov 2007 Other 98-0545047
Mlgpe U.S. Strategies Llc Member minority manager 1 Nov 2007 25% - 50% 26-0667033
L.L.C. Windy City Investments Holdings Owner 1 Nov 2007 75% - 100% 26-0373462
Inc. Windy City Investments Owner 1 Nov 2007 75% - 100% 26-0373324
Inc. Mlibk Positions Limited partner 1 Nov 2007 75% - 100% 13-3596352
Merrill Lynch Gp Inc. General partner 1 Nov 2007 Other 13-3540361
Llc Windy City Investments Holdings Owner 1 Nov 2007 75% - 100% 26-0373462
Madison Dearborn Partners General partner 1 Nov 2007 Other 157349
Ml Windy City Investments Holdings Llc Member minority manager 1 Feb 2008 25% - 50% 26-0667033
Bank Of America Corporation Owner 1 Dec 2008 75% - 100% 56-0906609
Tiaa Board Of Overseers Shareholder 1 Oct 2014 75% - 100% 13-6110585
Teachers Insurance And Annuity Association Of America Member 1 Oct 2014 75% - 100% 13-1624203
Llc Tiaa Asset Management Member 1 Oct 2014 75% - 100% 47-1595484
Llc Tiaa Asset Management Finance Company Shareholder 1 Oct 2014 75% - 100% 47-1563437
Llc Tiaa Global Asset Management Member 1 Oct 2014 75% - 100% 47-1595484
Llc Tam Finance Company Shareholder 1 Oct 2014 75% - 100% 47-1563437

Based in Los Angeles

The principal office where Tradewinds Global Investors, LLC performs its advisory services is located at 2049 Century Park East, Los Angeles, CA 90067 3120, which is also the mailing address of the firm. An additional office of the firm is in New York, NY. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 310-552-8900 or by fax 310-552-8910. The normal business hours are 6:30 am to 5:00 pm on Monday - Friday. You can find more information about the New York firm at tradewinds.com.

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