This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Firm class

independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0

Regulatory AUM

$142MItem 5.F on the latest filing (2026-08-30); as reported, and an affiliate's assets may be counted again on its own filing

Discretionary RAUM

$142M

Private client RAUM

$142MderivedItem 5.D individuals plus high net worth individuals

Private client share

100%derivedprivate client RAUM over total RAUM

Advisors on IAPD

3

RAUM per advisor

$47.4Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book

Employees

2

Advisory employees

2

Offices

0Schedule D 1.F, beyond the principal office

Accounts

361

Individual clients

132

High net worth clients

36

SEC number

801-136199

CRD

342069

Filings on the tape

3

First filed

May 28, 2026

Latest filed

Aug 30, 2026

Organised

Limited Liability Company, OR

Website

northwindfinancial.com

Graph

RIA / Wealth Management

Canonical id

dfx:ria:27f9e0ec-55b1-ef64-fea3-9c2c0146c548

First observed

May 28, 2026

Last observed

Aug 30, 2026 22 days ago

Source families

Federal regulator filings

3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.