Eastwind Capital, Llc
- Regulatory AUM
- $94.5M
- Discretionary
- $94.5M
- Clients
- 324
- Avg AUM / client
- $292K
- Accounts
- 548
- Employees
- 3
AUM over time
Annual snapshots from Form ADV filings · as of Feb 03, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 307 | $58.1M | 61.4% |
| High net worth individuals | 16 | $33.6M | 35.6% |
| Charitable organizations | 1 | $2.8M | 2.99% |
People (4)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Phillip Michael Valley | Manager | Mar 2008 (18y) | 75% or more | |
| Shawn Michael Arseneau | Chief Compliance Officer | CFP Chartered Financial Consultant | Jan 2012 (15y) | Less than 5% |
| Graham David Guthrie | Registered representative | Apr 2018 (8y) | ||
| David Brian Lennox | Registered representative | May 2022 (4y) |
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.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 02/03/2026 | 1.36 MB | 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
- • Percentage of assets under management
- • Hourly charges
Services
- • Portfolio management for individuals/small businesses
- • Other services
Custody
Reported custodians
- Charles Schwab & Co. $94.5M (100% of AUM) Feb 2026
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: Feb 03, 2026.
View current Form ADV (SEC/IAPD) ↗