NWM ADVISORS, LLC
Adviser information for NWM ADVISORS, LLC last updated from Form ADV on February 14th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 449 | $240.4M |
| Non-Discretionary | 2 | $7.4M |
| Total | 451 | $247.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 41 | $5.0M |
| HNW Individuals | 117 | $205.0M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 22 | $33.3M |
| Charitable organizations | <5 | $283,040 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $4.2M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting services |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-107866 |
|---|---|
| SEC ERA File Number | 801-107866 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 283714 |
| Legal Entity Identifier | None |
Principal Office
735 TANK FARM ROADSUITE 250
SAN LUIS OBISPO
CA
United States
Monday - Friday, MONDAY - THURSDAY 9AM - 5PM,FRIDAY 9AM-1PM
Tel: 805-781-2773, Fax: None
Websites
Chief Compliance Officer
KEVIN NICHOLS
PRESIDENT, CHIEF INVESTMENT OFFICER, CHIEF OPERATING OFFICER
735 TANK FARM ROAD
SUITE 250
SAN LUIS OBISPO
CA
United States
Tel:
805-781-2773
Fax:
805-781-2774
N******@**************M
(Full email address available in API data)
Regulatory Contact
SERGIO HOLGUIN
DIRECTOR OF OPERATIONS
735 TANK FARM ROAD
SUITE 250
SAN LUIS OBISPO
CA
United States
Tel:
805-781-2773
H******@**************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| NICHOLS, KEVIN, MARK | Individual | – | PRESIDENT & CHIEF COMPLIANCE OFFICER | 05/2019 | > 75% |