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NWAM, LLC, CRD 147923
MERCER ISLAND, WA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| G•••••• A•••• H••••••• | Certified Financial Planner | MERCER ISLAND, WA | 17 | 33 | 2 | no |
| N•••• O••••• M•••••• | n/a | MERCER ISLAND, WA | Redmond, WA | 16 | 22 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| H•••••••• G••••••• A•••• | MANAGING MEMBER | Na | yes | 07/2008 | Mar 31, 2026 | Mar 31, 2026 |
| M••••••• N••••• O••••• | CHIEF EXECUTIVE OFFICER/CHIEF COMPLIANCE OFFICER | Na | yes | 04/2025 | Mar 31, 2026 | Mar 31, 2026 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| A••••• G••••••• N••••• J• | n/a | n/a | n/a | N | no | n/a |
| B••• J••••• L••••• | n/a | n/a | n/a | N | no | n/a |
| B•••• C•••• G•••• | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Atascadero | CA | United States | 2 | no |
| Houston | TX | United States | 2 | no |
| Tempe | Az | United States | 1 | no |
| HUNTINGTON BEACH | CA | United States | 1 | no |
| Newark | De | United States |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 5 | 3 | 2 | 4.8% | 1 | 0 | 0 | 13 | 15 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $4.1B | $3.6B | 14.5% | $3.0B | 10.9% | 62 | 54 | 68 | 71 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| W••••••••• F•••••••• | 3 | Oct 31, 2023 | Aug 11, 2023 | AUSTIN, TX | Team lift out | RIA to RIA | 5.9% |
| S••••• V••••• W••••• G•••• | 3 | Sep 22, 2023 | Jun 19, 2023 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| L••••• S••••••• • G••• A••••••• G•••• I•• | 3 | Nov 20, 2020 | Nov 23, 2020 | AUSTIN, TX | Firm absorbed | RIA to RIA | 50.0% |
| A••••• A•• P••••••• S••••••• | 2 | Nov 13, 2020 | Nov 3, 2020 |
| no |
| W•••••• H• Z•••• J•• | n/a | Redmond, WA | MERCER ISLAND, WA | 16 | 41 | 2 | no |
| A••••• G••••••• N•••• | n/a | Kirkland, WA | MERCER ISLAND, WA | 15 | 43 | 2 | no |
| L•••• I•••• D••••• | n/a | MERCER ISLAND, WA | Friday Harbor, WA | 14 | 45 | 1 | no |
| J••• W•••••• W••• | n/a | BELFAIR, WA | MERCER ISLAND, WA | 14 | 38 | 2 | no |
| J••••• M•••••• S•••••••• | n/a | KENT, WA | MERCER ISLAND, WA | 14 | 33 | 3 | no |
| J•••• A••••• B••••• | Certified Financial Planner | BOISE, ID | MERCER ISLAND, WA | Santa Rosa, CA | 13 | 34 | 3 | no |
| J• S•••••• A••••••• | n/a | Houston, TX | MERCER ISLAND, WA | 10 | 24 | 3 | no |
| M•••• R••• P••••• | n/a | Lawndale, CA | MERCER ISLAND, WA | 9 | 11 | n/a | no |
| M•••••• D•••• S•••••• | Certified Financial Planner | Templeton, CA | MERCER ISLAND, WA | Anchorage, AK | 9 | 28 | 2 | no |
| D••••• S••• A••••••• | Certified Financial Planner | MERCER ISLAND, WA | HOUSTON, TX | 9 | 24 | n/a | no |
| S•••••• M•••• R••••••• | Certified Financial Planner | Independence, MN | MERCER ISLAND, WA | Avila Beach, CA | 9 | 35 | 3 | no |
| B••• J••••• L••••• | n/a | MERCER ISLAND, WA | BLACK DIAMOND, WA | 9 | 15 | 3 | no |
| G•••••••• S•••••••• | Certified Financial Planner | Huntington Beach, CA | MERCER ISLAND, WA | 8 | 18 | 5 | no |
| K•••• B••••• G•••• | n/a | LIBERTY LAKE, WA | MERCER ISLAND, WA | 8 | 41 | 6 | no |
| T••••• L••• S•••••• | Certified Financial Planner | MERCER ISLAND, WA | Bothell, WA | 8 | 29 | 2 | no |
| M••••• M• B••••• | Certified Financial Planner | MERCER ISLAND, WA | GILBERT, AZ | 8 | 29 | 3 | no |
| L•••••• A•••••• V•• D••• | n/a | MERCER ISLAND, WA | ISSAQUAH, WA | 7 | 18 | 2 | no |
| A••••••• K••••••• | Chartered Financial Analyst | Des Moines, WA | MERCER ISLAND, WA | 7 | 10 | n/a | no |
| S••••• M•• N•••• | n/a | RAPID CITY, SD | MERCER ISLAND, WA | 7 | 10 | n/a | no |
| T••••• D•••• W•••••••• | Chartered Financial Analyst | Huntington Beach, CA | MERCER ISLAND, WA | 7 | 14 | n/a | no |
| S••••• D••• E••••••• | n/a | CARNATION, WA | MERCER ISLAND, WA | 6 | 23 | 1 | no |
| C•••••• M•••• C•••• | n/a | MERCER ISLAND, WA | CHICAGO, IL | 6 | 39 | 1 | no |
| J•••• L••••• G••••• | Certified Financial Planner | MERCER ISLAND, WA | ATHENS, GA | 6 | 22 | 3 | no |
| SOLE MEMBER |
| E |
| yes |
| 06/2022 |
| Mar 31, 2026 |
| Mar 31, 2026 |
| H•••••••• G••••••• A•••• | Governor | E | yes | 06/2022 | Nov 11, 2011 | Aug 7, 2024 |
| M••••••• N••••• O••••• | Governor | F | yes | 06/2022 | Feb 7, 2013 | Aug 7, 2024 |
| P•••••• M••••• R••• | CHIEF OPERATING OFFICER | Na | yes | 01/2024 | Mar 28, 2024 | Aug 7, 2024 |
| n/a |
| N |
| no |
| n/a |
| G•••••• H••••••• | n/a | n/a | n/a | N | no | n/a |
| J•••• B••••• T••••• | n/a | n/a | n/a | N | no | n/a |
| J• S•••••• A••••••• | n/a | n/a | n/a | N | no | n/a |
| M•••• M••• B••••• | n/a | n/a | n/a | N | no | n/a |
| R••• R••••• | n/a | n/a | n/a | N | no | n/a |
| T•••••• L• S•••••• | n/a | n/a | n/a | N | no | n/a |
| W•••••• Z•••• | n/a | n/a | n/a | N | no | n/a |
| no |
| Athens | Ga | United States | 1 | no |
| Boise | Id | United States | 1 | no |
| Delano | Mn | United States | 1 | no |
| Cincinnati | Oh | United States | 1 | no |
| BLACK DIAMOND | Wa | United States | 1 | no |
| Bothell | Wa | United States | 1 | no |
| DES MOINES | Wa | United States | 1 | no |
| Seattle | Wa | United States | 1 | no |
| Snoqualmie | Wa | United States | 1 | no |
| n/a | n/a | n/a | 1 | no |
| Mar 31, 2026 |
| $4.1B |
| $2.9B |
| 62 |
| 44 |
| 68 |
| n/a |
| n/a |
| 2024 | Mar 31, 2025 | $3.6B | $2.7B | 54 | 38 | 71 | n/a | n/a |
| 2023 | Mar 28, 2024 | $3.3B | $2.2B | 55 | 48 | 66 | n/a | n/a |
| 2022 | Mar 29, 2023 | $3.0B | $2.2B | 55 | 48 | 66 | n/a | n/a |
| 2021 | Mar 31, 2022 | $3.2B | $2.3B | 53 | 42 | 34 | n/a | n/a |
| 2020 | Mar 25, 2021 | $2.4B | $1.7B | 49 | 44 | 38 | n/a | n/a |
| 2019 | Mar 30, 2020 | $1.9B | $1.2B | 40 | 39 | 25 | n/a | n/a |
| 2018 | Mar 20, 2019 | $1.4B | $959M | 32 | 31 | 13 | n/a | n/a |
| 2017 | Mar 30, 2018 | $1.3B | $889M | 30 | 30 | 11 | n/a | n/a |
| 2016 | Mar 29, 2017 | $920M | $771M | 30 | 28 | n/a | n/a | n/a |
| 2015 | Mar 30, 2016 | $743M | $690M | 25 | 25 | n/a | n/a | n/a |
| 2014 | Mar 27, 2015 | $836M | $791M | 21 | 21 | n/a | n/a | n/a |
| 2013 | Mar 27, 2014 | $849M | $819M | 25 | 25 | n/a | n/a | n/a |
| 2012 | Jan 28, 2013 | $1.0B | $1.0B | 23 | 23 | n/a | n/a | n/a |
| 2011 | Feb 28, 2012 | $491M | $385M | n/a | n/a | n/a | n/a | n/a |
| CARLSBAD, CA |
| Team lift out |
| RIA to RIA |
| 5.7% |
| T•• W••••••••• F••• L•• | 2 | Jun 30, 2021 | Mar 4, 2021 | MERCER ISLAND, WA | Team lift out | RIA to RIA | 4.7% |
| C•••••• W••••• M••••••••• | 2 | Mar 3, 2015 | Mar 6, 2015 | MERCER ISLAND, WA | Team lift out | Other | 13.3% |
| SHERMAN OAKS, CA |
| Team lift out |
| Ibd to RIA |
| 0.2% |