Crosswinds Aum LLC (New York)

Name: Crosswinds Aum LLC
Address: 14 Wall Street, New York, NY, 10005
Telephone: 212-521-1107

Crosswinds Aum LLC is a mid-sized advisory firm based in New York. It manages $41.01 million of regulatory assets for 4 client accounts. It has been registered with the SEC as an adviser since 2015 and has operated in the jurisdiction of New York.

Crosswinds Aum provides 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.

Crosswinds Aum: assets under management

The assets under management (AUM) of Crosswinds Aum LLC is $41.01 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 14% since the beginning of its operation, and $1.47 million of the total AUM is attributable to clients outside of the United States.

The firm manages $41.01 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $10.25 million each.

Crosswinds Aum has custody of $1.47 million in cash and securities for 1 client in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Crosswinds Aum LLC for their services and products based on a percentage of assets under management. 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.

What kind of clients Crosswinds Aum serves?

The only and largest group of clients of Crosswinds Aum is pooled investment vehicles with 4 clients and $41.01 million of assets under management. Among the 2 most similar advisory firms, Crosswinds Aum has the lowest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $41.01 million for 4 clients. 25% of the firm’s clients are foreign persons or businesses.

Crosswinds Aum also advises several private funds. Namely, two hedge funds.

Careers at Crosswinds Aum LLC

The company employs 2 people that are either part- or full-time employees. 50 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Helen Anne Margaret Martin	Chief compliance officer, chief operating officer and chief legal officer	1 Nov 2014	Other	6431065
Colin Edward King	Chief executive officer and chief investment officer	1 Nov 2014	Other	1806259
Crosswinds Holdings Inc.	Sole member	1 Nov 2014	75% - 100%	foreign

Based in New York

The principal office where Crosswinds Aum LLC performs its advisory services is located at 14 Wall Street, New York, NY 10005, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212-521-1107. The normal business hours are 9 a.m. - 5 p.m. on Monday - Friday. You can find more information about the New York firm at crosswindsinc.com.