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 Wealth Management, LLC
Latest filing Jul 6, 2026
First filing on the tape Dec 21, 2011 · 37 filings
SEC status approved since Jul 5, 2011
RAUM
$1.0B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$961M individuals and HNW
Advisors
20
registered through the firm on IAPD
RAUM per advisor
$51.6M
derived; firm RAUM over IAPD count
Employees
26
14 advisory (5.B.1)
Offices
11
beyond the principal office
Private funds
0
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$1.0B as of Jul 6, 2026
Mar 15, 2012$131M then
HNW client RAUM$611M as of Jul 6, 2026
Mar 21, 2018$213M then
State-registered IARs (5.B.3)21 as of Jul 6, 2026
Mar 20, 20137 then
Employees (5.A)26 as of Jul 6, 2026
Mar 20, 20137 then
Private funds: no history
RAUM +19% over the last fiscal year+19% a year over threeIARs 21 to 21
Practice profile
derived from the filing of Jul 6, 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
- $51.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 104derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $241,309derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.7derived12 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.2%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $40.1M, 32 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)
- 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
- High-net-worth individuals$611M59%
- Individuals$350M34%
- Corporations and businesses$48.7M4.7%
- Charitable organizations$19.0M1.8%
- Pension and profit-sharing plans$2.9M0.3%
- Individual clients
- 1,862reported
- HNW clients
- 223reported
- Pension plan clients
- 5reported
- Charitable clients
- 21reported
- Accounts
- 4,274reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $40.1M for 32 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
20 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Lance Bartley Evans | Spirit Lake, Ia | Jun 6, 2011 | 24 y | 1 |
| Jason Brent Vande Brake | Spencer, Ia | Oct 3, 2012 | 19 y | 1 |
| Nicole Chantel Evans | Arnolds Park, Ia | Nov 18, 2013 | 14 y | 0 |
| Jeffrey Dean Ploeger | Spirit Lake, Ia | Nov 26, 2013 | 26 y | 1 |
| James Robert ShoquistCertified Financial Planner | Omaha, Ne | May 7, 2014 | 17 y | 2 |
| Dean M JacobsenCertified Financial Planner | Spencer, Ia | Jan 20, 2015 | 26 y | 0 |
| Danielle Marie Brink | Spencer, Ia | Feb 28, 2015 | 18 y | 0 |
| Eric Joel Van Der Heide | Spencer, Ia | Oct 23, 2015 | 10 y | 0 |
| Rebecca C Mcginnis | Spencer, Ia | Sep 16, 2016 | 11 y | 0 |
| Zachary Scott Clark | Fort Dodge, Ia | Jun 28, 2017 | 12 y | 0 |
| Katy Laura Guinn | Spencer, Ia | Sep 9, 2017 | 10 y | 0 |
| Connie Jean Schmidt | Spencer, Ia | Aug 25, 2018 | 32 y | 0 |
| Joni Kaye KellenCertified Financial Planner | Spencer, Ia | Aug 18, 2021 | 11 y | 1 |
| Bryson Richard DuncanCertified Financial Planner | Spencer, Ia | Oct 14, 2021 | 12 y | 0 |
| Alex Curtis JohnsonCertified Financial Planner | Spencer, Ia | Feb 10, 2022 | 15 y | 2 |
| Garrett William Heater | Spencer, Ia | Apr 24, 2024 | 12 y | 0 |
| Michael James Storey | Sioux Center, Ia | Oct 19, 2024 | 10 y | 0 |
| Jared Todd Barnett | Spencer, Ia | May 22, 2025 | 11 y | 0 |
| Jodi L Minard | Spencer, Ia | Sep 20, 2025 | 29 y | 0 |
| Jed Lane Jensen | Spencer, Ia | Aug 25, 2026 | 27 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 5.0% of current headcount2 left over 36 months
Left, latest
- Kevin Frette to Custom Wealth PlannersSep 24, 2025 · RIA to a state-registered adviser
- Dayne Rachel Lawyer to Mdrn CapitalJan 17, 2025 · RIA to RIA
- Nathan Martin Kimle to Nuveen Asset Management, LLCSep 7, 2023 · Other
- Ryan David Hervey to Accel Wealth ManagementSep 21, 2022 · RIA to RIA
- Mackenzie Jo Veldman to Choreo, LLCNov 16, 2021 · RIA to RIA
- Brian Patrick Hagedorn to Wells Fargo AdvisorsAug 27, 2021 · RIA to wirehouse
- Randy Lee Immeker to Compass Lighthouse Capital, LLCNov 4, 2019 · Other
- Christopher Michael Benda to Fbl Wealth Management, LLCOct 18, 2019 · Other
- Ryan Patrick Mehalovich to Securities America Advisors, Inc.Apr 13, 2018 · RIA to affiliated broker-dealer or bank
- Jeffrey Harris to Cwm, LLCApr 7, 2017 · Other
- Todd Charles Silliman to First National Advisers, LLCJan 6, 2017 · Other
- John Gerard Lauer to Ifam CapitalJun 16, 2015 · Other
- Kevin Keith Klein to Ria Advisory Group, LLCMar 14, 2014 · Other
Joined, latest
- Dayne Rachel Lawyer from Smart Wealth, LLCSep 20, 2023 · RIA to RIA
- Alex Curtis Johnson from LPL Financial LLCFeb 10, 2022 · Affiliated broker-dealer or bank to independent RIA
- Joni Kaye Kellen from Thrivent Investment Management Inc.Aug 18, 2021 · Affiliated broker-dealer or bank to independent RIA
- Brian Patrick Hagedorn from Wells Fargo AdvisorsJul 21, 2021 · Wirehouse to independent RIA
- Todd Charles Silliman from The Way Point Advisory Group LLCApr 25, 2016 · Other
- Kevin Frette from Edward JonesJun 16, 2014 · Other
- James Robert Shoquist from Wells Fargo AdvisorsMay 7, 2014 · Other
- Jeffrey Dean Ploeger from Edward JonesNov 26, 2013 · Other
- Jason Brent Vande Brake from Edward JonesOct 3, 2012 · Other
- Ryan Patrick Mehalovich from Vsr Advisory ServicesJan 18, 2012 · Other
- Lance Bartley Evans from Edward JonesJun 6, 2011 · Other
- Kevin Keith Klein from Ameriprise Financial Services, LLCSep 24, 2010 · Other
- Randy Lee Immeker from Money Concepts Advisory ServiceSep 21, 2010 · Other
- Christopher Michael Benda from Ameriprise Financial Services, LLCAug 6, 2010 · Other
- John Gerard Lauer from Questar Asset Management, Inc.Feb 2, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Cornelius Conover IV · Secretary-Treasurercontrolsince 12/2009 · owns less than 5%
- A Gregory Post · Vice Presidentcontrolsince 10/2020 · owns less than 5%
- Burroughs Cornelius Conover IV · Shareholdercontrolsince 12/1988 · owns 25% to 50% of Northwest Financial Corp.
- Dwight Conover · Shareholdercontrolsince 12/1988 · owns 25% to 50% of Northwest Financial Corporation
- Joel Eric Van Der Heide · President, Chief Operating Officer, Chief Compliance Officersince 04/2016 · owns less than 5%
Entity owners
- Northwest Financial Corp. · Sole Managing Memberdirect · owns 75% or more · public reporting company
Related persons
Schedule D 7.A
- Northwest Bankn
- Northwest Insurance Services Corp.real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Spencer, Ia · principal | 20 | 2 | 0 | ||
| Spirit Lake, Ia | 3 | 0 | 0 | ||
| West Des Moines, Ia | 2 | 1 | 0 | ||
| Omaha, Ne | 1 | 0 | 0 | ||
| Ankeny, Ia | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Spencer, IA3 employees
- Spirit Lake, IA3 employees
- Omaha, NE2 employees
- Le Mars, IA2 employees
- Sioux Center, IA1 employees
- Sioux City, IA1 employees
- Ames, IA1 employees
- West Des Moines, IA1 employees
- Ankeny, IA1 employees
- Arnolds Park, IA1 employees
- Fort Dodge, IA1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jul 6, 2026CONOVER, DWIGHT (SHAREHOLDER) left Schedule A between the filings of 2021-03-11 and 2026-07-06peers: independent wealth managers, $1B to $5B (1,360)
What changed
consecutive filings, newest first
- Accounts · 4,063 to 4,274Mar 5, 2025 to Mar 12, 2026
- Advisory employees · 18 to 14Mar 5, 2025 to Mar 12, 2026
- Corporate clients · 19 to 17Mar 5, 2025 to Mar 12, 2026
- HNW clients · 191 to 223Mar 5, 2025 to Mar 12, 2026
- Individual clients · 1,791 to 1,862Mar 5, 2025 to Mar 12, 2026
- Pension plan clients · unset to 5.0Mar 5, 2025 to Mar 12, 2026
- Assets in custody · $45.6M to $40.1MMar 5, 2025 to Mar 12, 2026
- Employees · 24 to 26Mar 5, 2025 to Mar 12, 2026
- Financial planning clients · 0 to 1-10Mar 5, 2025 to Mar 12, 2026
- Discretionary RAUM · $865M to $1.0BMar 5, 2025 to Mar 12, 2026
- HNW RAUM · $478M to $611MMar 5, 2025 to Mar 12, 2026
- Individual RAUM · $326M to $350MMar 5, 2025 to Mar 12, 2026
- Pension RAUM · $685,883 to $2.9MMar 5, 2025 to Mar 12, 2026
- RAUM · $865M to $1.0BMar 5, 2025 to Mar 12, 2026
- Accounts · 3,817 to 4,063Sep 9, 2024 to Mar 5, 2025
- Advisory employees · 17 to 18Sep 9, 2024 to Mar 5, 2025
- Charity clients · 19 to 21Sep 9, 2024 to Mar 5, 2025
- Corporate clients · 16 to 19Sep 9, 2024 to Mar 5, 2025
- HNW clients · 149 to 191Sep 9, 2024 to Mar 5, 2025
- Individual clients · 1,763 to 1,791Sep 9, 2024 to Mar 5, 2025
- Pension plan clients · 1.0 to unsetSep 9, 2024 to Mar 5, 2025
- Assets in custody · $21.8M to $45.6MSep 9, 2024 to Mar 5, 2025
- Financial planning clients · 0 to 0Sep 9, 2024 to Mar 5, 2025
- State-registered IARs · 18 to 21Sep 9, 2024 to Mar 5, 2025
- Discretionary RAUM · $718M to $865MSep 9, 2024 to Mar 5, 2025
- HNW RAUM · $353M to $478MSep 9, 2024 to Mar 5, 2025
- Individual RAUM · $307M to $326MSep 9, 2024 to Mar 5, 2025
- Pension RAUM · $154,151 to $685,883Sep 9, 2024 to Mar 5, 2025
- RAUM · $718M to $865MSep 9, 2024 to Mar 5, 2025
- Other offices · 10 to 11Mar 11, 2024 to Sep 9, 2024
- Accounts · 3,656 to 3,817Jan 30, 2024 to Mar 11, 2024
- Advisory activities · 4 to 5Jan 30, 2024 to Mar 11, 2024
- Charity clients · 15 to 19Jan 30, 2024 to Mar 11, 2024
- HNW clients · 121 to 149Jan 30, 2024 to Mar 11, 2024
- Individual clients · 1,745 to 1,763Jan 30, 2024 to Mar 11, 2024
- Assets in custody · $4.8M to $21.8MJan 30, 2024 to Mar 11, 2024
- Employees · 25 to 24Jan 30, 2024 to Mar 11, 2024
- Financial planning clients · unset to 0Jan 30, 2024 to Mar 11, 2024
- State-registered IARs · 20 to 18Jan 30, 2024 to Mar 11, 2024
- Discretionary RAUM · $605M to $718MJan 30, 2024 to Mar 11, 2024
Signals
7 dated events
- Kevin Frette left Northwest Wealth Management, Llc for Custom Wealth Planners (registered 2025-09-19)Sep 24, 2025 · Advisor changed firm · fact
- Dayne Rachel Lawyer left Northwest Wealth Management, Llc for Mdrn Capital (registered 2025-01-17)Jan 17, 2025 · Advisor changed firm · fact
- Nathan Martin Kimle left Northwest Wealth Management, Llc for Nuveen Asset Management, Llc (registered 2023-12-18)Sep 7, 2023 · Advisor changed firm · fact
- Ryan David Hervey left Northwest Wealth Management, Llc for Accel Wealth Management (registered 2022-09-21)Sep 21, 2022 · Advisor changed firm · fact
- A Gregory Post (Vice President) appeared on Schedule A of Northwest Wealth Management, LlcMar 11, 2021 · Control person joined · fact
- Jeff Plagge (Vice President) no longer on Schedule A of Northwest Wealth Management, Llc (listed 2020-11-23, absent 2021-03-11)Mar 11, 2021 · Control person left · inference
- Northwest Wealth Management, Llc reported RAUM $545.3M, up 29% from $423.4M (2017-09-11 to 2018-03-21)Mar 21, 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
- Business phone
- 877-207-0994reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/16225959reportedpublic record, Form ADV, Sep 17, 2026
- Website
- INVEST-NORTHWEST.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 877-207-0994reportedpublic record, Form ADV, Jul 6, 2026
- Contact form
- nw.bank/wealth-management/contact-us/contactreportedpublished by the firm, firm site, Sep 16, 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
- $51.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026