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
Northwind Financial LLC
Latest filing Aug 30, 2026
First filing on the tape May 28, 2026 · 3 filings
SEC status 120-day approval since May 6, 2026
RAUM
$142M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$142M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$47.4M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$142M as of Aug 30, 2026
May 28, 2026$105M then
HNW client RAUM$96.5M as of Aug 30, 2026
May 28, 2026$65.8M then
State-registered IARs (5.B.3)2 as of Aug 30, 2026
May 28, 20262 then
Employees (5.A)2 as of Aug 30, 2026
May 28, 20262 then
Private funds: no history
Practice profile
derived from the filing of Aug 30, 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
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $47.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 56derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $394,020derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$96.5M68%
- Individuals$45.8M32%
- Individual clients
- 132reported
- HNW clients
- 36reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 361reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Kevin John SerrapedeCertified Financial Planner | Bend, Or | May 29, 2026 | 22 y | 2 |
| Bradley Jason BoeckChartered Financial Consultant | Bend, Or | Jun 30, 2026 | 24 y | 2 |
| Joseph John Serrapede | Bend, Or | Jul 7, 2026 | 10 y | 1 |
Advisor movement
0 left, 3 joined in 12 months
net +3 in 12 months0 left in 90 days2 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- Joseph John Serrapede from Capstone Wealth Management Group, LLCJul 7, 2026 · RIA to RIA
- Bradley Jason Boeck from Syndicated Capital, Inc.Jun 30, 2026 · RIA to RIA
- Kevin John Serrapede from Capstone Wealth Management Group, Inc.May 29, 2026 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Jason Bradley Boeck · Ownercontrolsince 01/2006 · owns 75% or more
- John Kevin Serrapede · Chief Compliance Officercontrolsince 05/2026 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Bend, Or · principal | 3 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 328 to 361Jun 11, 2026 to Aug 30, 2026
- HNW clients · 22 to 36Jun 11, 2026 to Aug 30, 2026
- Individual clients · 136 to 132Jun 11, 2026 to Aug 30, 2026
- Discretionary RAUM · $105M to $142MJun 11, 2026 to Aug 30, 2026
- HNW RAUM · $65.8M to $96.5MJun 11, 2026 to Aug 30, 2026
- Individual RAUM · $39.6M to $45.8MJun 11, 2026 to Aug 30, 2026
- RAUM · $105M to $142MJun 11, 2026 to Aug 30, 2026
Signals
No event on the tape.
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 email
- kelli@northwindfinancial.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- bj@northwindfinancial.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 541-318-7871reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 541-204-0701reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- northwindfinancial.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 541-318-7871reportedpublic record, Form ADV, Aug 30, 2026
- Team page
- northwindfinancial.net/teamreportedpublished by the firm, firm site, Sep 15, 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
- $47.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026