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RIA / WealthAdvisorCertified Financial Planner35 years in industry

SUZETTE MARIE ROTHBERG

Advisor at NORTHWEST ASSET MANAGEMENT

Independence, MN | MERCER ISLAND, WA | Avila Beach, CA

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Search this name across graphsid dfx:ria:858bf01b-1e63-6dc9-3eaa-2550ed248136

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:17 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Apr 26, 2004 to Sep 15, 2026

Across DFX

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.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: NORTHWEST ASSET MANAGEMENT
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 8, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S65|S63
First exam: Mar 8, 1991
First registration: Apr 26, 2004
Dual registered: no
Other names: SUZETTE MARIE NOVAK|SUZETTE NOVAK
IAPD individual key: 1994459

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
NORTHWEST ASSET MANAGEMENT	Independent wealth	Sep 8, 2017	n/a	yes	MERCER ISLAND, WA\|Avila Beach, CA\|Independence, MN	Current employment
PRESTIGE WEALTH MANAGEMENT	Former SEC adviser	Sep 25, 2015	Sep 8, 2017	no	LAKE ELMO, MN\|WOODBURY, MN	Previous registration
CAPITAL CLIENT GROUP, INC.	No RAUM reported	Apr 25, 2013	Sep 9, 2015	no	LOS ANGELES, CA	Previous registration
VAN KAMPEN ADVISORS INC	n/a	Apr 26, 2004	Aug 9, 2006	no	OAKBROOK TERRACE, IL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
PRESTIGE WEALTH MANAGEMENT	NORTHWEST ASSET MANAGEMENT	Sep 8, 2017	Sep 8, 2017	0	Firm change	Other
CAPITAL CLIENT GROUP, INC.	PRESTIGE WEALTH MANAGEMENT	Sep 9, 2015	Sep 25, 2015	16	Firm change	Other
VAN KAMPEN ADVISORS INC	CAPITAL CLIENT GROUP, INC.	Aug 9, 2006	Apr 25, 2013	2,451	Firm change after gap	Other

Relationships

Registered with (4)

→ NORTHWEST ASSET MANAGEMENTRegistered adviserregistration: current employment
Sep 8, 2017 to presentfactForm ADV
→ PRESTIGE WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Sep 25, 2015 to Sep 8, 2017factForm ADV
→ CAPITAL CLIENT GROUP, INC.Registered adviserregistration: previous registration
Apr 25, 2013 to Sep 9, 2015factForm ADV
→ VAN KAMPEN ADVISORS INCRegistered adviserregistration: previous registration
Apr 26, 2004 to Aug 9, 2006factForm ADV

Dated events

No dated event names this entity yet.