Tailwind Financial LLC

Tailwind Financial LLC is a fee-only investment adviser registered with the securities regulator of Connecticut, with a mailing address in Southwick, Massachusetts (its office is a private residence, so the street address is not published). On its latest Form ADV, filed January 26, 2026, it reports 2 employees who give investment advice. It reports no commission compensation, is not registered as a broker-dealer and does not act as an insurance agent.

Key facts from Form ADV

Registration	State-registered: Connecticut
Firm CRD number	333725
Office	Southwick, MA (mailing address; office not published)
Phone	(860) 814-4446
Website	www.tailwindfnancial.com
Regulatory assets under management	Not reported
Individual clients	Fewer than 5
Financial planning clients	1-10
How it charges	Hourly, Fixed fee
Services	Financial planning
Employees	2
Disciplinary disclosures	None reported
Latest Form ADV filing	January 26, 2026

Source: the firm’s Form ADV Part 1A as published by the SEC’s Investment Adviser Public Disclosure database, data as of November 6, 2026. Figures are self-reported by the firm.

What this means for you

• It offers hourly or fixed-fee arrangements, so you may be able to pay for a plan without handing over your investments.
• It provides financial planning services, not only portfolio management.
• It reports no disciplinary history on Form ADV.

Before you hire any adviser

Read the firm’s Form ADV Part 2 brochure on its SEC record: it sets out fees, minimums, conflicts of interest and who will manage your money. Ask whether the firm acts as a fiduciary for all of your accounts, how it is paid in total, and who holds your assets. Our guide to choosing a financial adviser lists the questions to ask.

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