EAST WIND SECURITIES, LLC

Overview

East Wind Securities, LLC is an SEC-registered limited liability company (registration in 2009) that is classified in FINTRX as an investment bank rather than a traditional asset manager. Ownership is listed as a combination of a domestic entity and an individual. The firm is not identified as a capital allocator and is not flagged as an active ESG investor. FINTRX also indicates it is not a multistate adviser, not newly formed, not a pension consultant, and not a related adviser. FINTRX does not provide descriptive entries for the firm’s client base, fee model, or specific business and advisory activities. Given its investment-bank classification and the absence of reported advisory detail, the entity appears positioned toward non-discretionary or capital-markets activity rather than the management of pooled client portfolios.

Assets & Accounts