NORTHWEST FINANCIAL SERVICES INC
Adviser information for NORTHWEST FINANCIAL SERVICES INC last updated from Form ADV on March 25th, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Indiana, United States |
Employees
| Total Number of Employees | 9 |
|---|---|
| Investment Advisory/Research | 7 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 7 |
| Licensed Agents of an Insurance Company | 6 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 450 | $486.8M |
| Non-Discretionary | 0 | $0 |
| Total | 450 | $486.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 272 | $65.1M |
| HNW Individuals | 178 | $421.7M |
| 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 | 0 | $0 |
| Charitable organizations | 0 | $0 |
| 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 | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 251-500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-42770 |
|---|---|
| SEC ERA File Number | 801-42770 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 106805 |
| Legal Entity Identifier | None |
Principal Office
9333 N MERIDIAN STSTE 300
INDIANAPOLIS
IN
United States
Monday - Friday, 8:30AM - 5:00PM
Tel: 317-844-0448, Fax: 317-844-0458
Websites
Chief Compliance Officer
AARON J PETTERSEN
CHIEF INVESTMENT OFFICER
9333 N. MERIDIAN ST.
SUITE 300
INDIANAPOLIS
IN
United States
Tel:
317-844-0448
Fax:
317-844-0458
A*********@*********************T
(Full email address available in API data)
Regulatory Contact
SARAH E AUSTIN
FINANCIAL PLANNER
9333 N MERIDIAN
SUITE 300
INDIANAPOLIS
IN
United States
Tel:
317-844-0448
Fax:
317-844-0458
S******@*********************T
(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 |
|---|---|---|---|---|---|
| YEITER, MATTHEW, COLIN | Individual | – | PRESIDENT | 12/2020 | 50-75% |
| GROSS, THOMAS, DANE | Individual | – | VICE PRESIDENT | 12/2020 | 25-50% |
| PETTERSEN, AARON, JAMES | Individual | – | CHIEF COMPLIANCE OFFICER, CHIEF INVESTMENT OFFICER, AND SECRETARY | 01/2019 | 5-10% |