# Tailwind Financial Planning

Tailwind Financial Planning is an Asset Manager based in United States.

## Overview

- **Organization type:** Asset Manager
- **Headquarters:** United States
- **Region:** North America
- **Assets under management:** Undisclosed
- **Website:** tailwindfinancialplanning.com
- **LinkedIn:** https://www.linkedin.com/company/pam-bergeson-85370a1b4

## Regulatory record

- **CRD number:** 309117
- **Registration status:** Registered
- **Reports private funds:** No
- **IAPD record:** https://adviserinfo.sec.gov/firm/summary/309117

## About

Tailwind Financial Planning LLC is a state-registered investment adviser. The firm manages approximately $4 million in regulatory assets. It has 1 employee and 1 investment adviser.

## Questions

### Is Tailwind Financial Planning a fiduciary?

Registered investment advisors in the United States are held to a fiduciary standard under the Investment Advisers Act of 1940. As an RIA, Tailwind is legally obligated to put client interests ahead of its own. That means disclosing conflicts, avoiding self-dealing, and recommending investments that are in the client's best interest — a higher standard than the suitability rule that governs broker-dealers.

### What investment products does the firm use?

Independent fee-only advisors overwhelmingly construct portfolios using low-cost ETFs and index mutual funds from providers like Vanguard, iShares, and Dimensional Fund Advisors. The focus is on asset allocation and tax management rather than security selection. Tailwind almost certainly uses a third-party custodian — most commonly Charles Schwab or Fidelity — to hold client assets, a separation that provides an additional layer of client protection.

### How can I verify Tailwind's regulatory standing?

Every US-registered investment advisor files Form ADV with the SEC or state securities regulator. That document — publicly searchable on the SEC's IAPD website — includes the firm's ownership structure, AUM, fee schedule, disciplinary history, and services offered. This is the primary source for due diligence on any RIA.

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- [TAIREN CAPITAL](https://altss.com/profile/tairen-capital-limited)

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Last updated: 2026-06-03T20:00:00.000Z

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