NWF ADVISORY SERVICES INC
Adviser information for NWF ADVISORY SERVICES INC last updated from Form ADV on March 28th, 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 | California, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 2 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 2,907 | $1.7B |
| Non-Discretionary | 3,648 | $2.0B |
| Total | 6,555 | $3.7B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 6,249 | $3.7B |
| HNW Individuals | <5 | $0 |
| Banking or thrift institutions | <5 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $0 |
| Charitable organizations | <5 | $0 |
| State or municipal gov entities | <5 | $0 |
| Other investment advisers | <5 | $0 |
| Insurance companies | <5 | $0 |
| Sovereign wealth funds and foreign official institutions | <5 | $0 |
| Corporations or other businesses | <5 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 6555 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 51-100 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)Educational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Registered representative of a broker-dealerInsurance broker or agent |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 426.3M |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| WEALTH MANAGEMENT PLATFORM | OSAIC WEALTH, INC. |
Identifiers
| SEC RIA File Number | 801-55681 |
|---|---|
| SEC ERA File Number | 801-55681 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 110410 |
| Legal Entity Identifier | None |
Principal Office
11835 W OLYMPIC BLVDSTE 1155 E.
LOS ANGELES
CA
United States
Monday - Friday, 8:30 A.M. TO 5:00 P.M.
Tel: 310-475-5854, Fax: 310-728-1764
Websites
Chief Compliance Officer
HEATHER SCULLY
VICE PRESIDENT
11835 W. OLYMPIC BLVD.
SUITE 1155 E.
LOS ANGELES
CA
United States
Tel:
310-475-5854
Fax:
310-728-1765
H******@**************M
(Full email address available in API data)
Regulatory Contact
SHEHAB MOHAMMAD
PRESIDENT
11835 W OLYMPIC BLVD
SUITE 1155 E.
LOS ANGELES
CA
United States
Tel:
310-475-5854
Fax:
310-728-1765
S********@**************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 |
|---|---|---|---|---|---|
| MOHAMMAD, SHEHAB, FAROUK | Individual | – | PRESIDENT | 07/2007 | 50-75% |
| SCULLY, HEATHER, LOUISE | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2013 | < 5% |