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.
SEC-registered adviser
Northwest Capital Management Inc.
Legal name Northwest Capital Management Inc
Latest filing May 5, 2026
First filing on the tape Mar 21, 2012 · 43 filings
SEC status approved since May 14, 1999
RAUM
$8.5B
reported, Item 5.F
Discretionary
1.1%
of RAUM
Private clients
1.0%
$83.5M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$1.2B
derived; firm RAUM over IAPD count
Employees
11
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
43 filings and snapshots on the tape
RAUM$8.5B as of May 5, 2026
Mar 21, 2012$1.7B then
HNW client RAUM$74.6M as of May 5, 2026
Feb 9, 2018$179M then
State-registered IARs (5.B.3)7 as of May 5, 2026
Mar 21, 20120 then
Employees (5.A)11 as of May 5, 2026
Mar 28, 201313 then
Private funds: no history
RAUM +13% over the last fiscal year+16% a year over threeIARs 8 to 7
Practice profile
derived from the filing of May 5, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- OCIO / institutional advisory · selection of other advisers (5.G.7) and institutional share at least 50 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $1.2BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 13derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.3MderivedHNW RAUM over HNW clients
- Average account
- $28.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 1.1%derivedof RAUM
- Institutional
- 99%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 3.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- -13%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -72%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
- Custody
- $9.7M, 14 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$4.9B58%
- State and municipal entities$3.5B41%
- High-net-worth individuals$74.6M0.9%
- Individuals$8.9M0.1%
- Corporations and businesses$4.4M0.1%
- Charitable organizations$168,6850.0%
- Individual clients
- 37reported
- HNW clients
- 56reported
- Pension plan clients
- 81reported
- Charitable clients
- 1reported
- Accounts
- 301reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $9.7M for 14 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.01 fund_share=0.0 institutional_share=0.99 related_bd=true related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Brent Jameson PettyCertified Financial Planner | Lake Oswego, Or | Jun 16, 2005 | 26 y | 3 |
| Christopher J Martin | Lake Oswego, Or | Dec 5, 2014 | 35 y | 2 |
| Scott Alan RhodesChartered Financial Analyst | Lake Oswego, Or | Aug 23, 2017 | 41 y | 3 |
| Mary JohnsonCertified Financial Planner | Lake Oswego, Or | Dec 5, 2021 | 10 y | 3 |
| Jason Nicholas AlvaradoCertified Financial Planner | San Antonio, Tx | Nov 23, 2022 | 11 y | 3 |
| Peter Scott Hoerber | Lake Oswego, Or | Apr 23, 2024 | 34 y | 1 |
| Mia Tinyi Heinrichs | Lake Oswego, Or | Jan 29, 2026 | 19 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- Frederick Joseph Payne to Cwm, LLCJul 7, 2025 · Other
- Scott Thomas Fisher to Pacific Portfolio Consulting, LLCMay 1, 2023 · Other
- Carrie Anne Hepburn to Harbour Investment Management L.L.C.Sep 4, 2019 · Other
- Aalok Kirit Shah to Harbour Investment Management L.L.C.Dec 18, 2018 · Other
- Frederick Joseph Payne to Harbour Investment Management L.L.C.Dec 31, 2017 · Other
- Corrie Bergeron Oliva to Arnerich Massena, Inc.Dec 31, 2017 · Other
- Matt A Morganroth to Fiduciary Consulting GroupSep 29, 2017 · Other
- Casey Alan Mckillip to Aldrich Wealth LPSep 29, 2017 · Other
- Macie Rochelle House to Robert W. Baird & Co. IncorporatedApr 3, 2017 · Other
- Axel Herbert Flichtbeil to Matisse CapitalApr 2, 2015 · Other
- Jessica Diane Tierney to The H Group, Inc.Sep 8, 2014 · Other
Joined, latest
- Jason Nicholas Alvarado from Morgan StanleyNov 23, 2022 · Other
- Mary Johnson from Parcion Private Wealth LLCDec 5, 2021 · Other
- Scott Thomas Fisher from Aon Investment Consulting Inc.Feb 26, 2020 · Other
- Frederick Joseph Payne from Harbour Investment Management L.L.C.Feb 15, 2018 · Other
- Scott Alan Rhodes from Kutscher Benner Barsness & Stevens, Inc.Aug 23, 2017 · Other
- Christopher J Martin from Morgan StanleyNov 24, 2014 · Other
- Brent Jameson Petty from Arnerich Massena, Inc.Jun 16, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Daniel Mark Applegarth · Directorcontrolsince 05/2024 · owns less than 5%
- Marie Jamie Carroll · Directorcontrolsince 06/2023 · owns less than 5%
- Edmond James Clements · Chief Compliance Officercontrolsince 06/2023 · owns less than 5%
- Jameson Brent Petty · Directorcontrolsince 06/2023 · owns less than 5%
- Burton George White · Presidentcontrolsince 11/2023 · owns less than 5%
- Lloyd Ronald Carson · Ownercontrolsince 12/1994 · owns 75% or more of Carson Group, Inc.
- Patrick John Pulverenti · Secretarysince 06/2023 · owns less than 5%
Entity owners
- Carson Group Holdings, LLC. · Direct Ownerdirect · owns 75% or more
- Bcc Blue Print Holdings I, LLC · Direct Ownerindirect · owns 75% or more of Bcc Blue Print Holdings II, LLC
- Bcc Blue Print Holdings II, LLC · Direct Ownerindirect · owns 25% to 50% of Carson Group Holdings, LLC.
- Bcc Blue Print Investments, LP · Direct Ownerindirect · owns 75% or more of Bcc Blue Print Holdings I, LLC
- Carson Group, Inc. · Direct Ownerindirect · owns 25% to 50% of Carson Group Holdings, LLC.
Related persons
Schedule D 7.A
- Carson Group Brokerage, LLCbroker-dealerinvestment adviserreal estaten
- Carson Group Investingbroker-dealerinvestment adviserreal estatenRAUM $2.0B
- Cwm, LLCbroker-dealerinvestment adviserreal estatenRAUM $51B
Advisers that list Northwest Capital Management Inc. as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Lake Oswego, Or · principal | 7 | 1 | 0 | ||
| Seattle, Wa | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Seattle, WA1 employees
ADV anomalies
5 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Mar 30, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $7,551,077,444 to $8,518,580,384, advisors 8 to 7, private clients 334 to 93, offices 1 to 1 (2025-04-09 to 2026-03-30)peers: institutional managers, $5B to $20B (71)
- employee count dropChange between filings · filing Mar 30, 2026employees (Item 5.A) moved from 17.0 to 11.0 (-35.0%) between the annual amendments of 2025-04-09 and 2026-03-30; the peer median change was 0.0% (56 comparable advisers, 0.0th percentile of changes)peers: institutional managers, $5B to $20B (56) · 0.0% percentile
- account count collapseChange between filings · filing Mar 30, 2026accounts (Item 5.F.2.f) moved from 1,199.0 to 301.0 (-75.0%) between the annual amendments of 2025-04-09 and 2026-03-30; the peer median change was +5.0% (23 comparable advisers, 0.0th percentile of changes)peers: institutional managers, $5B to $20B (23) · 0.0% percentile
- client count collapseChange between filings · filing Mar 30, 2026individual and HNW clients (Item 5.D) moved from 334.0 to 93.0 (-72.0%) between the annual amendments of 2025-04-09 and 2026-03-30; the peer median change was +8.0% (8 comparable advisers, 0.0th percentile of changes)peers: institutional managers, $5B to $20B (8) · 0.0% percentile
- discretionary share shiftChange between filings · filing Mar 30, 2026discretionary share of RAUM moved from 18.0% to 1.0% between the annual amendments of 2025-04-09 and 2026-03-30peers: institutional managers, $5B to $20B (71)
What changed
consecutive filings, newest first
- Accounts · 1,199 to 301Apr 9, 2025 to Feb 27, 2026
- Advisory employees · 8 to 7Apr 9, 2025 to Feb 27, 2026
- Charity clients · 2 to 1Apr 9, 2025 to Feb 27, 2026
- Corporate clients · 6 to 3Apr 9, 2025 to Feb 27, 2026
- HNW clients · 117 to 56Apr 9, 2025 to Feb 27, 2026
- Individual clients · 217 to 37Apr 9, 2025 to Feb 27, 2026
- Assets in custody · $82.6M to $9.7MApr 9, 2025 to Feb 27, 2026
- Employees · 17 to 11Apr 9, 2025 to Feb 27, 2026
- State-registered IARs · 8 to 7Apr 9, 2025 to Feb 27, 2026
- Discretionary RAUM · $1.4B to $92.4MApr 9, 2025 to Feb 27, 2026
- HNW RAUM · $494M to $74.6MApr 9, 2025 to Feb 27, 2026
- Individual RAUM · $102M to $8.9MApr 9, 2025 to Feb 27, 2026
- Non-discretionary RAUM · $6.2B to $8.4BApr 9, 2025 to Feb 27, 2026
- Pension RAUM · $3.3B to $4.9BApr 9, 2025 to Feb 27, 2026
- RAUM · $7.6B to $8.5BApr 9, 2025 to Feb 27, 2026
- Accounts · 1,409 to 1,199Jul 17, 2024 to Apr 9, 2025
- Charity clients · 3 to 2Jul 17, 2024 to Apr 9, 2025
- HNW clients · 136 to 117Jul 17, 2024 to Apr 9, 2025
- Individual clients · 244 to 217Jul 17, 2024 to Apr 9, 2025
- Pension plan clients · 108 to 81Jul 17, 2024 to Apr 9, 2025
- Financial planning clients · 101-250 to 101-250Jul 17, 2024 to Apr 9, 2025
- Discretionary RAUM · $1.4B to $1.4BJul 17, 2024 to Apr 9, 2025
- HNW RAUM · $511M to $494MJul 17, 2024 to Apr 9, 2025
- Individual RAUM · $154M to $102MJul 17, 2024 to Apr 9, 2025
- Non-discretionary RAUM · $5.4B to $6.2BJul 17, 2024 to Apr 9, 2025
- Pension RAUM · $2.9B to $3.3BJul 17, 2024 to Apr 9, 2025
- RAUM · $6.9B to $7.6BJul 17, 2024 to Apr 9, 2025
- Related adviser · false to trueMay 2, 2024 to May 3, 2024
- Related broker-dealer · false to trueMay 2, 2024 to May 3, 2024
- Accounts · 995 to 1,409Dec 8, 2023 to Mar 28, 2024
- HNW clients · 134 to 136Dec 8, 2023 to Mar 28, 2024
- Individual clients · 239 to 244Dec 8, 2023 to Mar 28, 2024
- Pension plan clients · 93 to 108Dec 8, 2023 to Mar 28, 2024
- Discretionary RAUM · $1.1B to $1.4BDec 8, 2023 to Mar 28, 2024
- HNW RAUM · $438M to $511MDec 8, 2023 to Mar 28, 2024
- Individual RAUM · $96.5M to $154MDec 8, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $4.4B to $5.4BDec 8, 2023 to Mar 28, 2024
- Pension RAUM · $2.4B to $2.9BDec 8, 2023 to Mar 28, 2024
- RAUM · $5.5B to $6.9BDec 8, 2023 to Mar 28, 2024
- Accounts · 1,266 to 995Mar 29, 2022 to Mar 27, 2023
Signals
17 dated events
- Brent Jameson Petty added a TX registration at Northwest Capital Management Inc.Sep 16, 2026 · New state registration · fact
- Frederick Joseph Payne left Northwest Capital Management Inc. for Cwm, Llc (registered 2023-06-12)Jul 7, 2025 · Advisor changed firm · fact
- James Nicholas Engelbart (Director) no longer on Schedule A of Northwest Capital Management Inc. (listed 2024-04-26, absent 2024-05-02)May 2, 2024 · Control person left · inference
- Daniel Mark Applegarth (Director) appeared on Schedule A of Northwest Capital Management Inc.May 2, 2024 · Control person joined · fact
- Northwest Capital Management Inc. reported RAUM $6.9B, up 25% from $5.5B (2023-12-08 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- Burton George White (President) appeared on Schedule A of Northwest Capital Management Inc.Dec 8, 2023 · Control person joined · fact
- Patrick Jamie Hopkins (President) no longer on Schedule A of Northwest Capital Management Inc. (listed 2023-11-02, absent 2023-12-08)Dec 8, 2023 · Control person left · inference
- James Nicholas Engelbart (Director) appeared on Schedule A of Northwest Capital Management Inc.Jun 27, 2023 · Control person joined · fact
- P Jamie Hopkins (President) appeared on Schedule A of Northwest Capital Management Inc.Jun 27, 2023 · Control person joined · fact
- Marie Jamie Carroll (Director) appeared on Schedule A of Northwest Capital Management Inc.Jun 27, 2023 · Control person joined · fact
- James Clements (Chief Compliance Officer) appeared on Schedule A of Northwest Capital Management Inc.Jun 27, 2023 · Control person joined · fact
- Lloyd Ronald Carson (Owner) appeared on Schedule A of Northwest Capital Management Inc.Jun 27, 2023 · Control person joined · fact
- Joseph Frederick Payne (Secretary, Treasurer, And Chief Compliance Officer) no longer on Schedule A of Northwest Capital Management Inc. (listed 2023-03-27, absent 2023-06-27)Jun 27, 2023 · Control person left · inference
- Scott Thomas Fisher left Northwest Capital Management Inc. for Pacific Portfolio Consulting, Llc (registered 2024-03-27)May 1, 2023 · Advisor changed firm · fact
- Northwest Capital Management Inc. reported RAUM $5.7B, up 42% from $4.0B (2020-06-24 to 2021-03-29)Mar 29, 2021 · RAUM change · derived
- Kirit Aalok Shah (Secretary/Treasurer) no longer on Schedule A of Northwest Capital Management Inc. (listed 2018-03-28, absent 2019-03-22)Mar 22, 2019 · Control person left · inference
- Northwest Capital Management Inc. reported RAUM $3.4B, up 46% from $2.3B (2017-09-27 to 2018-02-09)Feb 9, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/NORTHWEST-CAPITAL-MANAGEMENT-INC.reportedpublic record, Form ADV, Sep 17, 2026
- Website
- NWCM.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 503-597-1616reportedpublic record, Form ADV, May 5, 2026
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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $1.2Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026