Autumn Wind Asset Management Inc
- Regulatory AUM
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- Discretionary
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- Clients
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- Avg AUM / client
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- Accounts
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- Employees
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AUM over time
Annual snapshots from Form ADV filings · as of Mar 03, 2026
Private funds (1)
Reported in Form ADV Section 7.B.(1), filing of Mar 2024 · $32.4M combined gross assets
| Fund | Type | Domicile | Gross assets | Owners |
|---|---|---|---|---|
| Autumn Wind Global Multi Strategies Fund, Llc | Hedge Fund | Delaware | $32.4M | 2 |
People (2)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Thomas Neal Falkenberry | President | CFA | May 2000 (26y) | 75% or more |
| O'donnell, Michael, James | Cco | Mar 2013 (13y) | Less than 5% |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Private funds (1, $32.4M gross assets)
| Fund | Type | Gross assets | Min. investment | Owners |
|---|---|---|---|---|
| Autumn Wind Global Multi Strategies Fund, Llc | Hedge Fund | $32.4M | $100K | 2 |
From Form ADV Section 7.B private fund reporting.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/03/2026 | 535 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
Not reported.
Custody
Reported custodians
- Charles Schwab & Co. $157M (95% of AUM) Mar 2024
- Tradestation Securities, Inc. $8.3M (5% of AUM) Mar 2024
- Wells Fargo $1 (0% of AUM) Feb 2022
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 03, 2026.
View current Form ADV (SEC/IAPD) ↗