Investment adviser · CRD 138476

TRADEWINDS GLOBAL INVESTORS, LLC

Investment adviser filing (IA)

LOS ANGELES, CA, United States · Form ADV filed Sep 1, 2016

Regulatory AUM
$3.02B
Form ADV · Item 5.F
Client accounts
3,589
Accounts, not individual clients
Employees
42
Reported in this filing
Advisory professionals
21
Investment advisory functions

Private funds & service providers

4 Private funds

The count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.

TRADEWINDS GLOBAL/LONG SHORT MASTER FUND LIMITEDHedge Fund · Last reported Mar 30, 2012$46.4MGross asset value

Feeder funds

Fund administrator INTERNATIONAL FUND SERVICES LIMITED NEW YORK, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Fund administrator INTERNATIONAL FUND SERVICES LIMITED DUBLIN, Ireland Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor DELOITTE & TOUCHE CHICAGO, Illinois, United States
Auditor DELOITTE & TOUCHE, LLP GRAND CAYMAN, Cayman Islands
Custodian JP MORGAN CHASE BANK N.A. NEW YORK, New York, United States Related to adviser: No
Marketer NUVEEN SECURITIES, LLC CHICAGO, Illinois, United States Related to adviser: Yes
Prime broker MORGAN STANLEY & CO. LLC NEW YORK, New York, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

NUVEEN SECURITIES, LLC
CRD 469 · SEC 8-13464

MORGAN STANLEY & CO. LLC
CRD 8209 · SEC 8-15869

Fund details & source
Fund ID
805-1273478583
Reported beneficial owners
28
Minimum commitment
$1M
Form D file number
021-106251
Form D file number
021-106520

Form ADV 620388 · Mar 30, 2012 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

TRADEWINDS INSTITUTIONAL INVESTMENT TRUST - TRADEWINDS GLOBAL ALL-CAP PORTFOLIOOther Private Fund · Last reported Dec 7, 2015$18.8MGross asset value

Form D fundraising filings

Tradewinds Global All-Cap Portfolio of the Tradewinds Institutional Investment Trust

Fund administrator THE NORTHERN TRUST COMPANY CHICAGO, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor KPMG, LLP LOS ANGELES, California, United States
Custodian THE NORTHERN TRUST COMPANY CHICAGO, Illinois, United States Related to adviser: No
Marketer NUVEEN SECURITIES, LLC CHICAGO, Illinois, United States Related to adviser: Yes
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

NUVEEN SECURITIES, LLC
CRD 469 · SEC 8-13464

Fund details & source
Fund ID
805-9091911541
Reported beneficial owners
3
Minimum commitment
$2M
Form D file number
021-103286

Form ADV 961196 · Dec 7, 2015 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

TRADEWINDS INSTITUTIONAL INVESTMENT TRUST - TRADEWINDS EMERGING MARKETS PORFOLIOOther Private Fund · Last reported Mar 3, 2014$1.99MGross asset value

Form D fundraising filings

Tradewinds Emerging Markets Portfolio, a portfolio of the Tradewinds Institutional Investment Trust

Fund administrator THE NORTHERN TRUST COMPANY CHICAGO, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor DELOITTE & TOUCHE CHICAGO, Illinois, United States
Custodian THE NORTHERN TRUST COMPANY CHICAGO, Illinois, United States Related to adviser: No
Marketer NUVEEN SECURITIES, LLC CHICAGO, Illinois, United States Related to adviser: Yes
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

NUVEEN SECURITIES, LLC
CRD 469 · SEC 8-13464

Fund details & source
Fund ID
805-8105346846
Reported beneficial owners
6
Minimum commitment
$1M
Form D file number
021-102997

Form ADV 793580 · Mar 3, 2014 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

TRADEWINDS INSTITUTIONAL INVESTMENT TRUST - TRADEWINDS INTERNATIONAL EQUITY PORTFOLIOOther Private Fund · Last reported Jul 24, 2013$0Gross asset value

Form D fundraising filings

Tradewinds International Equity Portfolio, a portfolio of Tradewinds Institutional Investment Trust

Fund administrator THE NORTHERN TRUST COMPANY CHICAGO, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor DELOITTE & TOUCHE CHICAGO, Illinois, United States
Custodian THE NORTHERN TRUST COMPANY CHICAGO, Illinois, United States Related to adviser: No
Marketer NUVEEN SECURITIES, LLC CHICAGO, Illinois, United States Related to adviser: Yes
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

NUVEEN SECURITIES, LLC
CRD 469 · SEC 8-13464

Fund details & source
Fund ID
805-5091369304
Reported beneficial owners
0
Minimum commitment
$1M
Form D file number
021-80575

Form ADV 748442 · Jul 24, 2013 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Services & filing details

Most recent filing: Sep 1, 2016. View historical filings

Reported services

Individual portfolio management · Investment company portfolio management · Pooled investment vehicle management · Business portfolio management

Compensation

Percentage of assets · Performance-based

Principal office

2049 CENTURY PARK EAST, 20TH FLOOR
LOS ANGELES, CA, 90067-3120, United States

CRD 138476

Filing source

Form ADV 1038210 · Sep 1, 2016 · Items 1 & 5

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.