S
Secondwind Asset Management LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$5,802,353
Clients
4
100% high-net worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
4
Very LowAverage account size
$1,450,588
About
SecondWind Asset Management, LLC provides discretionary asset management and individualized investment advice to high‑net‑worth individuals, generally requiring a $1,000,000 household minimum for its Asset Management service. The firm constructs portfolios using individual stocks and bonds, ETFs, mutual funds, options and other public or private securities, and offers clients the ability to impose reasonable investment restrictions and receive quarterly account reviews.
The firm’s investment approach blends fundamental and technical (charting) analysis with explicit asset allocation techniques — including strategic, dynamic, tactical and core‑satellite strategies — and it manages cash positions in conservative instruments such as money market funds and certificates of deposit. Accounts are reviewed at least annually (with quarterly monitoring of portfolios) and may be managed on a discretionary basis when clients grant authority to the adviser.
What is distinctive for this firm is its narrow client focus and concentrated scale: the adviser reports managing about $5.8 million on a discretionary basis for a very small number of high‑net‑worth households as of December 31, 2024, and does not generally serve non‑HNW individual clients. The firm’s principal also has a legal background (a non‑practicing attorney), legal services are not provided through the firm, and the adviser does not custody client assets or sell commissionable securities.
Client services
Portfolio management
Expertise
Active portfolio management
Options & derivatives strategies
Concentrated stock management
Fee options
$0 - $1,999,999.99: 1.50% $2,000,000 - $4,999,999.99: 1.25% $5,000,001 - $9,999,999.99: 1.10% $10,000,000+: By Negotiation
Account minimum: $1,000,000
Main office location
Secondwind Asset Management LLC
Henderson NV, United States
Number of offices
1
Most active in
Secondwind Asset Management LLC has reported serving >5 clients in these states in the last 12 months.
Nevada · Washington
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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