DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Northwest Investment Counselors

Former SEC-registered adviserLake Oswego, OregonCRD 107953SEC 801-56301IAPD
Legal name Northwest Investment Counselors LLC
Latest filing Nov 20, 2023
First filing on the tape Mar 23, 2012 · 23 filings
RAUM
$534M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$522M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$534M as of Feb 17, 2023
Mar 23, 2012$191M then
HNW client RAUM$126M as of Feb 17, 2023
Feb 22, 2018$96.8M then
State-registered IARs (5.B.3)5 as of Feb 17, 2023
Mar 25, 20135 then
Employees (5.A)7 as of Feb 17, 2023
Mar 25, 20135 then
Private funds: no history
RAUM -11% over the last fiscal year+5.7% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Nov 20, 2023; every figure names its basis
RAUM per advisor
$107MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
67derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$8.4MderivedHNW RAUM over HNW clients
Average account
$1.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
2.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.4derivedItem 5.A over advisors
Advisors per office
5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-11%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-2.0%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Custody
$117M, 171 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$396M74%
  • High-net-worth individuals$126M24%
  • Charitable organizations$6.5M1.2%
  • Pension and profit-sharing plans$5.2M1.0%
Individual clients
321reported
HNW clients
15reported
Pension plan clients
5reported
Charitable clients
n/areported
Accounts
344reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
$117M for 171 clientsreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Castano Michelle Garcia · Relationship Managercontrol
      since 11/2013 · owns 10% to 25%
    • John Nicol Matthew Roehr · Chief Compliance Officercontrol
      since 05/1998 · owns 25% to 50%
    • Edward Mark Scarlett · Membercontrol
      since 05/1998 · owns 25% to 50%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Lake Oswego, Or · principal000
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Succession · true to false
      Jun 29, 2023 to Nov 20, 2023
    • Succession · false to true
      Feb 17, 2023 to Jun 29, 2023
    • Accounts · 867 to 344
      Mar 3, 2022 to Feb 17, 2023
    • HNW clients · 29 to 15
      Mar 3, 2022 to Feb 17, 2023
    • Individual clients · 314 to 321
      Mar 3, 2022 to Feb 17, 2023
    • Pension plan clients · unset to 5.0
      Mar 3, 2022 to Feb 17, 2023
    • Assets in custody · $130M to $117M
      Mar 3, 2022 to Feb 17, 2023
    • Financial planning clients · 1-10 to 11-25
      Mar 3, 2022 to Feb 17, 2023
    • Discretionary RAUM · $600M to $533M
      Mar 3, 2022 to Feb 17, 2023
    • HNW RAUM · $216M to $126M
      Mar 3, 2022 to Feb 17, 2023
    • Individual RAUM · $376M to $396M
      Mar 3, 2022 to Feb 17, 2023
    • Non-discretionary RAUM · $1.4M to $1.4M
      Mar 3, 2022 to Feb 17, 2023
    • Pension RAUM · $1.4M to $5.2M
      Mar 3, 2022 to Feb 17, 2023
    • RAUM · $601M to $534M
      Mar 3, 2022 to Feb 17, 2023
    • Accounts · 816 to 867
      Jun 17, 2021 to Mar 3, 2022
    • HNW clients · 15 to 29
      Jun 17, 2021 to Mar 3, 2022
    • Individual clients · 286 to 314
      Jun 17, 2021 to Mar 3, 2022
    • Assets in custody · $154M to $130M
      Jun 17, 2021 to Mar 3, 2022
    • Employees · 6 to 7
      Jun 17, 2021 to Mar 3, 2022
    • Discretionary RAUM · $508M to $600M
      Jun 17, 2021 to Mar 3, 2022
    • HNW RAUM · $127M to $216M
      Jun 17, 2021 to Mar 3, 2022
    • Individual RAUM · $366M to $376M
      Jun 17, 2021 to Mar 3, 2022
    • Non-discretionary RAUM · $0 to $1.4M
      Jun 17, 2021 to Mar 3, 2022
    • Pension RAUM · unset to 1433000.0
      Jun 17, 2021 to Mar 3, 2022
    • RAUM · $508M to $601M
      Jun 17, 2021 to Mar 3, 2022
    • Accounts · 832 to 816
      Jun 24, 2020 to Mar 10, 2021
    • HNW clients · 13 to 15
      Jun 24, 2020 to Mar 10, 2021
    • Individual clients · 279 to 286
      Jun 24, 2020 to Mar 10, 2021
    • Assets in custody · $112M to $154M
      Jun 24, 2020 to Mar 10, 2021
    • Discretionary RAUM · $452M to $508M
      Jun 24, 2020 to Mar 10, 2021
    • HNW RAUM · $97.0M to $127M
      Jun 24, 2020 to Mar 10, 2021
    • Individual RAUM · $328M to $366M
      Jun 24, 2020 to Mar 10, 2021
    • Pension RAUM · 8935877.0 to unset
      Jun 24, 2020 to Mar 10, 2021
    • RAUM · $452M to $508M
      Jun 24, 2020 to Mar 10, 2021
    • Accounts · 315 to 832
      Mar 22, 2019 to Mar 11, 2020
    • HNW clients · 11 to 13
      Mar 22, 2019 to Mar 11, 2020
    • Individual clients · 304 to 279
      Mar 22, 2019 to Mar 11, 2020
    • Assets in custody · unset to 111632531.0
      Mar 22, 2019 to Mar 11, 2020
    • Custody of client assets · false to true
      Mar 22, 2019 to Mar 11, 2020
    • Discretionary RAUM · $414M to $452M
      Mar 22, 2019 to Mar 11, 2020
    Signals
    4 dated events
    • Christel Parkinson Turkiewicz left Northwest Investment Counselors for One Advisory Partners, Llc (registered 2025-06-16)
      Nov 20, 2023 · Advisor changed firm · fact
    • Parkinson Christel Turkiewicz (Relationship Manager) no longer on Schedule A of Northwest Investment Counselors (listed 2023-06-29, absent 2023-11-20)
      Nov 20, 2023 · Control person left · inference
    • Northwest Investment Counselors's advisors moved to Northwest Investment Counselors (Lake Oswego, OR): 4 of 5 registered, on the same day
      Nov 20, 2023 · Firm absorbed (people side) · derived
    • Northwest Investment Counselors reported succeeding to the business of Another Adviser (Form ADV Item 4)
      Jun 29, 2023 · Succession (Item 4) · fact
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    Provenance
    Form ADV
    SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
    Advisors
    IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
    Class
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026