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 Asset Management
Legal name Nwam, LLC
Latest filing Mar 31, 2026
First filing on the tape Nov 11, 2011 · 87 filings
SEC status approved since Aug 20, 2008
RAUM
$4.1B
reported, Item 5.F
Discretionary
71%
of RAUM
Private clients
98%
$4.1B individuals and HNW
Advisors
62
registered through the firm on IAPD
RAUM per advisor
$66.6M
derived; firm RAUM over IAPD count
Employees
62
44 advisory (5.B.1)
Offices
68
beyond the principal office
Private funds
0
reported on Schedule D
History
87 filings and snapshots on the tape
RAUM$4.1B as of Mar 31, 2026
Feb 28, 2012$491M then
HNW client RAUM$3.1B as of Mar 31, 2026
Mar 30, 2018$445M then
State-registered IARs (5.B.3)62 as of Mar 31, 2026
Feb 28, 20120 then
Employees (5.A)62 as of Mar 31, 2026
Jan 28, 201323 then
Private funds: no history
RAUM +15% over the last fiscal year+11% a year over threeIARs 54 to 62offices 71 to 68
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $66.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 44derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.8MderivedHNW RAUM over HNW clients
- Average account
- $454,530derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 71%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.9derived69 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +15%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -7.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, educational seminars, otherreportedItem 5.G
- Custody
- $615M, 943 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
- is an insurance broker or agent (6.A.6)
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$3.1B76%
- Individuals$924M22%
- Corporations and businesses$46.7M1.1%
- Individual clients
- 1,926reported
- HNW clients
- 832reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 9,090reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $615M for 943 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
62 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Gregory Allen HeadrickCertified Financial Planner | Mercer Island, Wa | Oct 9, 2008 | 33 y | 2 |
| Nelly Olinda Mubashi | Mercer Island, Wa | Mar 1, 2010 | 22 y | 2 |
| William H Ziehl Jr. | Redmond, Wa | Mar 16, 2010 | 41 y | 2 |
| Arthur Geronimo Nunes | Kirkland, Wa | Nov 30, 2010 | 42 y | 2 |
| Loren Irvin Deshon | Mercer Island, Wa | Jan 13, 2012 | 45 y | 1 |
| John William Watt | Belfair, Wa | Jun 6, 2012 | 38 y | 2 |
| Joseph Michael Schreiber | Kent, Wa | Jul 13, 2012 | 33 y | 3 |
| James Andrew BurtonCertified Financial Planner | Boise, Id | Jan 2, 2013 | 34 y | 3 |
| Jo Simmons Aldridge | Houston, Tx | Jul 11, 2016 | 24 y | 3 |
| Mahum Raza Prasad | Lawndale, Ca | Oct 19, 2016 | 11 y | 0 |
| Matthew David StelmasCertified Financial Planner | Templeton, Ca | Jan 31, 2017 | 28 y | 2 |
| Damian Seth AldridgeCertified Financial Planner | Mercer Island, Wa | Aug 1, 2017 | 24 y | 0 |
| Suzette Marie RothbergCertified Financial Planner | Independence, Mn | Sep 8, 2017 | 35 y | 3 |
| Brad Joseph Landry | Mercer Island, Wa | Sep 18, 2017 | 15 y | 3 |
| Gabriella SheffieldCertified Financial Planner | Huntington Beach, Ca | Feb 26, 2018 | 18 y | 5 |
| Kevin Bonner Glynn | Liberty Lake, Wa | Apr 12, 2018 | 41 y | 6 |
| Teresa Lynn StarmanCertified Financial Planner | Mercer Island, Wa | Jun 4, 2018 | 29 y | 2 |
| Martin M BenderCertified Financial Planner | Mercer Island, Wa | Aug 30, 2018 | 29 y | 3 |
| Leonard Adriaan Van Dorp | Mercer Island, Wa | Mar 22, 2019 | 18 y | 2 |
| Antriksh KandhariChartered Financial Analyst | Des Moines, Wa | Mar 26, 2019 | 10 y | 0 |
| Sheila Mae Noble | Rapid City, Sd | Apr 25, 2019 | 10 y | 0 |
| Thomas David WhiteheadChartered Financial Analyst | Huntington Beach, Ca | May 13, 2019 | 14 y | 0 |
| Shelby Dawn Eckhardt | Carnation, Wa | Oct 10, 2019 | 23 y | 1 |
| Candida Marie Casey | Mercer Island, Wa | Dec 10, 2019 | 39 y | 1 |
| James Lester GillisCertified Financial Planner | Mercer Island, Wa | Jun 19, 2020 | 22 y | 3 |
| Darin Ray Womble | Pearland, Tx | Oct 8, 2020 | 19 y | 4 |
| Mary Archer Moon | Mercer Island, Wa | Oct 26, 2020 | 44 y | 3 |
| Noura Marie Alsheikh | Seattle, Wa | Dec 7, 2020 | 21 y | 1 |
| Douglass Colley Mccrae | Mercer Island, Wa | Feb 8, 2021 | 13 y | 2 |
| Jeffrey Michael Cygan | Mercer Island, Wa | Jul 23, 2021 | 30 y | 0 |
| David Lindsey Schaen | Newark, De | Aug 6, 2021 | 35 y | 2 |
| William Mark FarrellCertified Financial Planner | Longwood, Fl | Aug 27, 2021 | 24 y | 2 |
| Joseph Webster Peters | Mercer Island, Wa | Nov 24, 2021 | 28 y | 3 |
| Matthew Quincy Loreen | Mercer Island, Wa | Dec 16, 2021 | 10 y | 0 |
| Michael Scott Van SantCertified Financial Planner | Mercer Island, Wa | May 10, 2022 | 30 y | 6 |
| Kimberley S Evermon | Mercer Island, Wa | Jun 10, 2022 | 10 y | 0 |
| Austin Brady CunninghamCertified Financial Planner | Atascadero, Ca | Jul 19, 2022 | 12 y | 2 |
| Geoffrey Charles Burke | Mercer Island, Wa | Jan 26, 2023 | 31 y | 4 |
| Hannah Geiger | Mercer Island, Wa | Aug 19, 2023 | 10 y | 0 |
| Samuel Cody Tiseth OlsonCertified Financial Planner | Mercer Island, Wa | Oct 19, 2023 | 11 y | 1 |
Advisor movement
3 left, 5 joined in 12 months
net +2 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 4.8% of current headcount18 left over 36 months
Left, latest
- Anaiss Zamora to SavvyApr 16, 2026 · RIA to RIA
- Mark Alan Renard to Mar FinancialMar 31, 2026 · RIA to a state-registered adviser
- Bryan Cross Gould to Ultra Advisory GroupMar 27, 2026 · RIA to a newly registered adviser
- Theadora Mcknight Westlake-Stearns to Values Added FinancialAug 13, 2025 · RIA to RIA
- Maria Louise Callaghan to Commonwealth Financial NetworkJul 22, 2025 · RIA to affiliated broker-dealer or bank
- James William Bryan to Hyland Lake PartnersApr 2, 2025 · RIA to a state-registered adviser
- Matthew Laciskey to Hyland Lake PartnersApr 2, 2025 · RIA to a state-registered adviser
- Ryan Joseph Rourke to The Planner'S Edge LLCDec 20, 2024 · RIA to RIA
- Bryan Andrew Moylan to Traverse Private WealthJul 1, 2024 · RIA to a state-registered adviser
- Ian Tacher to Integra WealthMar 13, 2024 · RIA to a state-registered adviser
- Rafael Antonio Villagran to Genesia Investments LLCFeb 1, 2024 · Other
- Megan Kelly Poore to Watercolor FinancialOct 31, 2023 · RIA to a newly registered adviser
- Hal Bleckley Dobbs to Watercolor FinancialOct 31, 2023 · RIA to a newly registered adviser
- Cathryn Grange to Watercolor FinancialOct 31, 2023 · RIA to a newly registered adviser
- Benjamin Stuart Englund to Ceva AdvisorsOct 4, 2023 · RIA to a state-registered adviser
Joined, latest
- Todd Joseph Matia from Hightower Advisors, LLCJun 25, 2026 · Affiliated broker-dealer or bank to independent RIA
- Daniel Lynn Vandergriff from Cs Planning CorpApr 2, 2026 · RIA to RIA
- Maretta Elizabeth Menz from Robert W. Baird & Co. IncorporatedMar 19, 2026 · RIA to RIA
- Julie Johnson Mcveigh from Nia Impact CapitalFeb 10, 2026 · RIA to RIA
- John Lee from Strategic Advisers LLCNov 3, 2025 · Affiliated broker-dealer or bank to independent RIA
- Haleigh Paige Thompson from Investors Portfolio Services LLCAug 28, 2025 · RIA to RIA
- Kevion Lamar Latham from Focus Partners Wealth, LLCMay 30, 2025 · RIA to RIA
- Alyssa Yesenia Miller from Telos Capital Management, Inc.May 1, 2025 · RIA to RIA
- Robert Edwin Toomey from S. R. Schill & Associates, Inc.Sep 5, 2024 · RIA to RIA
- Stacy Lyn Murray from Full Sail Capital, LLCAug 12, 2024 · RIA to RIA
- James William Bryan from Cahill Financial Advisors, Inc.Jul 1, 2024 · RIA to RIA
- Matthew Laciskey from Great Valley Advisor Group, LLCJul 1, 2024 · RIA to RIA
- Samuel Cody Tiseth Olson from Edward JonesOct 19, 2023 · Affiliated broker-dealer or bank to independent RIA
- Bryan Andrew Moylan from Beacon Pointe Advisors, LLCApr 3, 2023 · RIA to RIA
- Mark Alan Renard from Composition Wealth, LLCFeb 24, 2023 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for Watercolor FinancialOct 31, 2023 · Austin, Tx
- 3 left for Shared Vision Wealth GroupSep 22, 2023 · Carlsbad, Ca
- 2 left for The Wealthgarden F.S. LLCJun 30, 2021 · Mercer Island, Wa
- 2 left for Concert Wealth ManagementMar 3, 2015 · Mercer Island, Wa
- 3 joined from Lucien Stirling & Gray Advisory Group IncNov 20, 2020 · Austin, Tx · Firm absorbed
- 2 joined from Advice And Planning ServicesNov 13, 2020 · Sherman Oaks, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Allen Gregory Headrick · Managing Membercontrolsince 07/2008 · owns less than 5%
- Olinda Nelly Mubashi · Chief Executive Officer/Chief Compliance Officercontrolsince 04/2025 · owns less than 5%
- Raza Mahum Prasad · Chief Operating Officercontrolsince 01/2024 · owns less than 5%
- Allen Gregory Headrick · Governorcontrolsince 06/2022 · owns 75% or more of Nw Holdings Group, Inc.
- Olinda Nelly Mubashi · Governorcontrolsince 06/2022 · owns F of Nw Holdings Group, Inc.
Entity owners
- Nw Holdings Group, Inc. · Sole Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- Arthur Geronimo Nunes, Jrinvestment companyn
- Brad Joseph Landryreal estaten
- Bryan Cross Gouldreal estaten
- Gregory Headrickreal estaten
- James Bryant Tiltoninsurancereal estaten
- Jo Simmons Aldridgereal estaten
- Marty Mann Benderreal estaten
- Ryan Rourkereal estaten
- Theresa L. Starmanreal estaten
- William Ziehlreal estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Mercer Island, Wa · principal | 62 | 13 | 2 | ||
| Seattle, Wa | 4 | 2 | 0 | ||
| Redmond, Wa | 3 | 0 | 0 | ||
| Huntington Beach, Ca | 3 | 0 | 0 | ||
| Houston, Tx | 2 | 0 | 0 | ||
| Anchorage, Ak | 2 | 0 | 0 | ||
| Bend, Or | 2 | 2 | 0 | ||
| Carnation, Wa | 2 | 0 | 0 | ||
| Colorado Springs, Co | 2 | 1 | 0 | ||
| Sammamish, Wa | 2 | 0 | 0 | ||
| Edina, Mn | 0 | 0 | 0 | ||
| Baltimore, Md | 0 | 0 | 0 | ||
| Austin, Tx | 0 | 0 | 0 | ||
| Chula Vista, Ca | 0 | 0 | 0 | ||
| Charlotte, Nc | 0 | 0 | 1 | ||
| Carlsbad, Ca | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Houston, TX2 employees
- Atascadero, CA2 employees
- Black Diamond, WA1 employees
- Boise, ID1 employees
- Bothell, WA1 employees
- Cincinnati, OH1 employees
- Delano, MN1 employees
- Des Moines, WA1 employees
- Huntington Beach, CA1 employees
- Newark, DE1 employees
- Seattle, WA1 employees
- Snoqualmie, WA1 employees
- Tempe, AZ1 employees
- , 1 employees
- Athens, GA1 employees
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 31, 2026wrap fee program participation (Item 5.I): yes on the filing of 2026-02-25, no on the filing of 2026-03-31peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Mar 31, 2026PRASAD, MAHUM, RAZA (CHIEF OPERATING OFFICER) left Schedule A between the filings of 2024-03-28 and 2026-03-31peers: independent wealth managers, $1B to $5B (1,360)
- custody status changedChange between filings · filing Mar 31, 2026custody of client assets (Item 9.A): no on the filing of 2026-02-25, yes on the filing of 2026-03-31peers: independent wealth managers, $1B to $5B (1,360)
What changed
consecutive filings, newest first
- Accounts · 8,844 to 9,090Feb 25, 2026 to Mar 31, 2026
- Advisory employees · 38 to 44Feb 25, 2026 to Mar 31, 2026
- Charity clients · 13 to 0Feb 25, 2026 to Mar 31, 2026
- Corporate clients · 0 to 8Feb 25, 2026 to Mar 31, 2026
- HNW clients · 1,048 to 832Feb 25, 2026 to Mar 31, 2026
- Individual clients · 1,917 to 1,926Feb 25, 2026 to Mar 31, 2026
- Pension plan clients · 12 to 0Feb 25, 2026 to Mar 31, 2026
- Assets in custody · unset to 615482234.0Feb 25, 2026 to Mar 31, 2026
- Custody of client assets · false to trueFeb 25, 2026 to Mar 31, 2026
- Employees · 54 to 62Feb 25, 2026 to Mar 31, 2026
- Insurance-licensed employees · 1 to 2Feb 25, 2026 to Mar 31, 2026
- Financial planning clients · 26-50 to 11-25Feb 25, 2026 to Mar 31, 2026
- State-registered IARs · 54 to 62Feb 25, 2026 to Mar 31, 2026
- Other offices · 71 to 68Feb 25, 2026 to Mar 31, 2026
- Discretionary RAUM · $2.7B to $2.9BFeb 25, 2026 to Mar 31, 2026
- HNW RAUM · $2.7B to $3.1BFeb 25, 2026 to Mar 31, 2026
- Individual RAUM · $800M to $924MFeb 25, 2026 to Mar 31, 2026
- Non-discretionary RAUM · $861M to $1.2BFeb 25, 2026 to Mar 31, 2026
- Pension RAUM · $68.2M to $0Feb 25, 2026 to Mar 31, 2026
- RAUM · $3.6B to $4.1BFeb 25, 2026 to Mar 31, 2026
- Wrap assets (manager) · 0.0 to unsetFeb 25, 2026 to Mar 31, 2026
- Wrap assets (sponsor) · 0.0 to unsetFeb 25, 2026 to Mar 31, 2026
- Financial planning clients · 26-50 to 26-50May 8, 2025 to Jun 23, 2025
- Accounts · 8,878 to 8,844Aug 7, 2024 to Mar 31, 2025
- Advisory employees · 48 to 38Aug 7, 2024 to Mar 31, 2025
- BD registered reps · 3 to 0Aug 7, 2024 to Mar 31, 2025
- Charity clients · 12 to 13Aug 7, 2024 to Mar 31, 2025
- HNW clients · 862 to 1,048Aug 7, 2024 to Mar 31, 2025
- Individual clients · 1,737 to 1,917Aug 7, 2024 to Mar 31, 2025
- Pension plan clients · 13 to 12Aug 7, 2024 to Mar 31, 2025
- Employees · 55 to 54Aug 7, 2024 to Mar 31, 2025
- Financial planning clients · 11-25 to 26-50Aug 7, 2024 to Mar 31, 2025
- State-registered IARs · 55 to 54Aug 7, 2024 to Mar 31, 2025
- Other offices · 66 to 71Aug 7, 2024 to Mar 31, 2025
- Discretionary RAUM · $2.2B to $2.7BAug 7, 2024 to Mar 31, 2025
- HNW RAUM · $2.5B to $2.7BAug 7, 2024 to Mar 31, 2025
- Individual RAUM · $690M to $800MAug 7, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $1.0B to $861MAug 7, 2024 to Mar 31, 2025
- Pension RAUM · $65.4M to $68.2MAug 7, 2024 to Mar 31, 2025
- RAUM · $3.3B to $3.6BAug 7, 2024 to Mar 31, 2025
Signals
33 dated events
- Anaiss Zamora left Northwest Asset Management for Savvy (registered 2026-05-05)Apr 16, 2026 · Advisor changed firm · fact
- Mark Alan Renard left Northwest Asset Management for Mar Financial (registered 2025-11-17)Mar 31, 2026 · Advisor changed firm · fact
- Bryan Cross Gould left Northwest Asset Management for Ultra Advisory Group (registered 2025-11-21)Mar 27, 2026 · Advisor changed firm · fact
- Theadora Mcknight Westlake-Stearns left Northwest Asset Management for Values Added Financial (registered 2025-08-26)Aug 13, 2025 · Advisor changed firm · fact
- Maria Louise Callaghan left Northwest Asset Management for Commonwealth Financial Network (registered 2025-11-17)Jul 22, 2025 · Advisor changed firm · fact
- Matthew Laciskey left Northwest Asset Management for Hyland Lake Partners (registered 2025-01-06)Apr 2, 2025 · Advisor changed firm · fact
- James William Bryan left Northwest Asset Management for Hyland Lake Partners (registered 2025-01-06)Apr 2, 2025 · Advisor changed firm · fact
- Northwest Asset Management reported 71 offices beyond its principal office, up from 66 (2024-08-07 to 2025-03-31)Mar 31, 2025 · Office count change · derived
- Ryan Joseph Rourke left Northwest Asset Management for The Planner'S Edge Llc (registered 2024-12-20)Dec 20, 2024 · Advisor changed firm · fact
- Bryan Andrew Moylan left Northwest Asset Management for Traverse Private Wealth (registered 2024-05-02)Jul 1, 2024 · Advisor changed firm · fact
- Raza Mahum Prasad (Chief Operating Officer) appeared on Schedule A of Northwest Asset ManagementMar 28, 2024 · Control person joined · fact
- Ian Tacher left Northwest Asset Management for Integra Wealth (registered 2023-11-13)Mar 13, 2024 · Advisor changed firm · fact
- Rafael Antonio Villagran left Northwest Asset Management for Genesia Investments Llc (registered 2025-01-21)Feb 1, 2024 · Advisor changed firm · fact
- Cathryn Grange left Northwest Asset Management for Watercolor Financial (registered 2023-08-11)Oct 31, 2023 · Advisor changed firm · fact
- Megan Kelly Poore left Northwest Asset Management for Watercolor Financial (registered 2023-08-11)Oct 31, 2023 · Advisor changed firm · fact
- Hal Bleckley Dobbs left Northwest Asset Management for Watercolor Financial (registered 2023-08-11)Oct 31, 2023 · Advisor changed firm · fact
- 3 advisors left Northwest Asset Management (Austin, TX) for Watercolor Financial on the same dayOct 31, 2023 · Team lift-out · derived
- Benjamin Stuart Englund left Northwest Asset Management for Ceva Advisors (registered 2023-06-22)Oct 4, 2023 · Advisor changed firm · fact
- Bradley Aaron Sayre left Northwest Asset Management for Shared Vision Wealth Group (registered 2023-06-19)Sep 22, 2023 · Advisor changed firm · fact
- Bryan Patrick Theall left Northwest Asset Management for Shared Vision Wealth Group (registered 2023-06-16)Sep 22, 2023 · Advisor changed firm · fact
- Carolina Nmn Ortiz left Northwest Asset Management for Shared Vision Wealth Group (registered 2023-06-16)Sep 22, 2023 · Advisor changed firm · fact
- 3 advisors left Northwest Asset Management (Carlsbad, CA) for Shared Vision Wealth Group on the same daySep 22, 2023 · Team lift-out · derived
- Northwest Asset Management reported 66 offices beyond its principal office, up from 34 (2022-07-15 to 2023-03-29)Mar 29, 2023 · Office count change · derived
- Paul Orlino left Northwest Asset Management for Opus Financial Llc (registered 2025-09-17)Feb 17, 2023 · Advisor changed firm · fact
- Andrew Tyler Clement left Northwest Asset Management for Alongside Wealth Advisors, Llc (registered 2022-11-10)Jan 26, 2023 · Advisor changed firm · fact
- Adam Richard Wojtkowski left Northwest Asset Management for Copper Beech Wealth Management (registered 2022-09-23)Dec 21, 2022 · Advisor changed firm · fact
- Anders Arne Wesley left Northwest Asset Management for Fifth Third Wealth Advisors Llc (registered 2026-05-11)Aug 4, 2022 · Advisor changed firm · fact
- Molly Mallindine Wagner left Northwest Asset Management for Assembly Wealth (registered 2022-07-15)May 13, 2022 · Advisor changed firm · fact
- Northwest Asset Management reported RAUM $3.2B, up 33% from $2.4B (2021-12-23 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Northwest Asset Management reported 38 offices beyond its principal office, up from 25 (2020-06-23 to 2021-03-25)Mar 25, 2021 · Office count 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/nwamreportedpublic record, Form ADV, Sep 17, 2026
- Firm profile
- linkedin.com/company/ria-innovations/aboutreportedpublic record, Form ADV, Sep 17, 2026
- Website
- sustainablebalance.netreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 206-838-3680reportedpublic record, Form ADV, Mar 31, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $66.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026