NORTHWEST ASSET MANAGEMENT
NWAM, LLC Legal Name
Adviser information for NORTHWEST ASSET MANAGEMENT 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Washington, United States |
Employees
| Total Number of Employees | 55 |
|---|---|
| Investment Advisory/Research | 48 |
| Registered Broker-Dealer Representatives | 3 |
| Registered State Investment Advisers | 55 |
| Licensed Agents of an Insurance Company | 14 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 5,928 | $2.2B |
| Non-Discretionary | 2,950 | $1.0B |
| Total | 8,878 | $3.3B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 1,737 | $689.7M |
| HNW Individuals | 862 | $2.5B |
| 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 | 13 | $65.4M |
| Charitable organizations | 12 | $22.4M |
| 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 | 12 | $27.4M |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 17 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 11-25 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesEducational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 468.7M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| NWAM CHOICE SOLUTIONS | NORTHWEST ASSET MANAGEMENT |
Principal Office
2835 82ND AVENUE SESTE 100
MERCER ISLAND
WA
United States
Monday - Friday, 8:00 AM - 4:00 PM
Tel: 206-838-3680, Fax: 206-838-3681
Websites
farrellwealthgroup.com/
sunstonefg.com/
riainnovations.com
twitter.com/riainnovations
www.linkedin.com/company/ria-innovations/about/
www.instagram.com/riainnovations/
www.nwasset-fsg.com/
www.radialwealth.com/
twitter.com/nwamllc
www.aldridgegrp.com/
www.ultraadvisorygroup.com/
www.linkedin.com/company/nwam/
www.dynamiccapital.group/
www.nwasset.com/
www.marfinancialplan.com/
www.instagram.com/nwamllc/
terrafirma-financial.com
sustainablebalance.net
www.northfrontieradvisory.com/
Chief Compliance Officer
GREGORY HEADRICK
MANAGING PARTNER
2835 82ND AVENUE SE
STE 100
MERCER ISLAND
WA
United States
Tel:
206-838-3680
Fax:
206-838-3681
G************@**********M
(Full email address available in API data)
Regulatory Contact
DOUGLASS MCCRAE
COMPLIANCE MANAGER/INSIDE COUNSEL
2835 82ND AVENUE SE
STE 100
MERCER ISLAND
WA
United States
Tel:
206-838-3694
D**************@**********M
(Full email address available in API data)
Industry Affiliates
| ARTHUR G. NUNES | Real estate broker or dealer |
| BRAD LANDRY | Insurance company or agency |
| BRYAN GOULD | Insurance company or agency |
| GREG HEADRICK | Insurance company or agency |
| JIM TILTON, CPA | Accountant or accounting firmInsurance company or agency |
| JO ALDRIDGE | Insurance company or agency |
| MARTY BENDER | Insurance company or agency |
| RYAN ROURKE | Insurance company or agency |
| THERESA STARMAN | Insurance company or agency |
| WILLIAM ZIEHL | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| HEADRICK, GREGORY, ALLEN | Individual | – | MANAGING MEMBER, CHIEF COMPLIANCE OFFICER | 07/2008 | < 5% |
| MUBASHI, NELLY, OLINDA | Individual | – | CHIEF EXECUTIVE OFFICER/COMPLIANCE MANAGER | 01/2020 | < 5% |
| NW HOLDINGS GROUP, INC. | Domestic Entity | – | SOLE MEMBER | 06/2022 | > 75% |
| HEADRICK, GREGORY, ALLEN | Individual | NW HOLDINGS GROUP, INC. | GOVERNOR | 06/2022 | > 75% |
| MUBASHI, NELLY, OLINDA | Individual | NW HOLDINGS GROUP, INC. | GOVERNOR | 06/2022 | |
| PRASAD, MAHUM, RAZA | Individual | – | CHIEF OPERATING OFFICER | 01/2024 | < 5% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed July 23rd, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| ABBVIE INC | COM | 3M | 15K | – |
| ABRDN ASIA PACIFIC INCOME FU | COM | 525K | 196K | – |
| ADOBE INC | COM | 526K | 947 | – |
| AEROVIRONMENT INC | COM | 4M | 19K | – |
| AIR PRODS & CHEMS INC | COM | 282K | 1K | – |
| ALLIANCEBERNSTEIN GLOBAL HIG | COM | 614K | 59K | – |
| ALLSPRING MULTI SECTOR INCOM | COM | 115K | 13K | – |
| ALNYLAM PHARMACEUTICALS INC | COM | 207K | 852 | – |
| ALPHABET INC | CAP STK CL A | 11M | 59K | – |
| ALPHABET INC | CAP STK CL C | 13M | 73K | – |
| ALTRIA GROUP INC | COM | 521K | 11K | – |
| AMAZON COM INC | COM | 29M | 149K | – |
| AMERICAN CENTY ETF TR | AVANTIS CORE FI | 498K | 12K | – |
| AMERICAN CENTY ETF TR | AVANTIS SHFXDINC | 399K | 9K | – |
| AMERICAN FINL GROUP INC OHIO | COM | 787K | 6K | – |
| AMERIPRISE FINL INC | COM | 223K | 523 | – |
| AMGEN INC | COM | 5M | 17K | – |
| ANALOG DEVICES INC | COM | 341K | 1K | – |
| ANSYS INC | COM | 514K | 2K | – |
| APPLE INC | COM | 62M | 295K | – |
| APPLIED MATLS INC | COM | 1M | 6K | – |
| ARISTA NETWORKS INC | COM | 5M | 14K | – |
| AT&T INC | COM | 1M | 61K | – |
| AUTODESK INC | COM | 238K | 962 | – |
| AUTOMATIC DATA PROCESSING IN | COM | 2M | 7K | – |
| AVIDITY BIOSCIENCES INC | COM | 977K | 24K | – |
| BERKSHIRE HATHAWAY INC DEL | CL B NEW | 25M | 62K | – |
| BEST BUY INC | COM | 3M | 40K | – |
| BIOGEN INC | COM | 307K | 1K | – |
| BLACKROCK CR ALLOCATION INCO | COM | 303K | 28K | – |
| BLACKROCK ETF TRUST II | FLEXIBLE INCOME | 270K | 5K | – |
| BLACKROCK INC | COM | 357K | 453 | – |
| BOOKING HOLDINGS INC | COM | 313K | 79 | – |
| BROADCOM INC | COM | 7M | 4K | – |
| CADENCE DESIGN SYSTEM INC | COM | 3M | 8K | – |
| CALAMOS CONV OPPORTUNITIES & | SH BEN INT | 156K | 13K | – |
| CATERPILLAR INC | COM | 1M | 4K | – |
| CAVA GROUP INC | COM | 304K | 3K | – |
| CISCO SYS INC | COM | 860K | 18K | – |
| CITIGROUP INC | COM NEW | 348K | 5K | – |
| COINBASE GLOBAL INC | COM CL A | 1M | 7K | – |
| CORTEVA INC | COM | 254K | 5K | – |
| CROWDSTRIKE HLDGS INC | CL A | 942K | 2K | – |
| CUMMINS INC | COM | 587K | 2K | – |
| D R HORTON INC | COM | 250K | 2K | – |
| DELL TECHNOLOGIES INC | CL C | 7M | 50K | – |
| DELTA AIR LINES INC DEL | COM NEW | 326K | 7K | – |
| DEXCOM INC | COM | 324K | 3K | – |
| DIMENSIONAL ETF TRUST | SHORT DURATION F | 661K | 14K | – |
| DOCGO INC | COM | 46K | 15K | – |
| DRAFTKINGS INC NEW | COM CL A | 1M | 39K | – |
| DUPONT DE NEMOURS INC | COM | 502K | 6K | – |
| ECOLAB INC | COM | 213K | 896 | – |
| ELEVANCE HEALTH INC | COM | 234K | 431 | – |
| EQUIFAX INC | COM | 973K | 4K | – |
| EVOLV TECHNOLOGIES HLDNGS IN | COM CL A | 32K | 13K | – |
| FISERV INC | COM | 224K | 2K | – |
| FREEPORT-MCMORAN INC | CL B | 6M | 119K | – |
| GAMCO GLOBAL GOLD NAT RES & | COM SH BEN INT | 651K | 161K | – |
| GANNETT CO INC | COM | 66K | 14K | – |
| GAP INC | COM | 4M | 163K | – |
| GENERAC HLDGS INC | COM | 315K | 2K | – |
| GILEAD SCIENCES INC | COM | 1M | 17K | – |
| GOLDMAN SACHS GROUP INC | COM | 744K | 2K | – |
| HALOZYME THERAPEUTICS INC | COM | 282K | 5K | – |
| HOME DEPOT INC | COM | 2M | 6K | – |
| HONEYWELL INTL INC | COM | 1M | 6K | – |
| ILLINOIS TOOL WKS INC | COM | 317K | 1K | – |
| ILLUMINA INC | COM | 549K | 5K | – |
| INARI MED INC | COM | 2M | 31K | – |
| INGERSOLL RAND INC | COM | 240K | 3K | – |
| INTUIT | COM | 236K | 359 | – |
| INTUITIVE SURGICAL INC | COM NEW | 4M | 9K | – |
| ISHARES TR | IBONDS 25 TRM HG | 2M | 85K | – |
| ISHARES TR | PFD AND INCM SEC | 1M | 39K | – |
| IVEDA SOLUTIONS INC | COM NEW | 64K | 125K | – |
| J P MORGAN EXCHANGE TRADED F | ULTRA SHRT INC | 631K | 12K | – |
| J P MORGAN EXCHANGE TRADED F | ULTRA SHT MUNCPL | 414K | 8K | – |
| KEYCORP | COM | 226K | 16K | – |
| KINDER MORGAN INC DEL | COM | 252K | 13K | – |
| L3HARRIS TECHNOLOGIES INC | COM | 291K | 1K | – |
| LEIDOS HOLDINGS INC | COM | 306K | 2K | – |
| LOWES COS INC | COM | 2M | 7K | – |
| MARSH & MCLENNAN COS INC | COM | 271K | 1K | – |
| MARTIN MARIETTA MATLS INC | COM | 3M | 6K | – |
| MASTERCARD INCORPORATED | CL A | 770K | 2K | – |
| MEDTRONIC PLC | SHS | 381K | 5K | – |
| MERCADOLIBRE INC | COM | 3M | 2K | – |
| MERCK & CO INC | COM | 2M | 15K | – |
| META PLATFORMS INC | CL A | 13M | 26K | – |
| MICRON TECHNOLOGY INC | COM | 1M | 11K | – |
| MICROSTRATEGY INC | CL A NEW | 704K | 511 | – |
| MONDELEZ INTL INC | CL A | 291K | 4K | – |
| MOTOROLA SOLUTIONS INC | COM NEW | 340K | 879 | – |
| NATERA INC | COM | 1M | 10K | – |
| NETFLIX INC | COM | 2M | 3K | – |
| NEXTERA ENERGY INC | COM | 531K | 8K | – |
| NIKE INC | CL B | 468K | 6K | – |
| OPENDOOR TECHNOLOGIES INC | COM | 720K | 391K | – |
| OREILLY AUTOMOTIVE INC | COM | 289K | 274 | – |
| PACCAR INC | COM | 5M | 46K | – |
| PALANTIR TECHNOLOGIES INC | CL A | 782K | 31K | – |
| PALO ALTO NETWORKS INC | COM | 402K | 1K | – |
| PAYCHEX INC | COM | 419K | 4K | – |
| PEPSICO INC | COM | 1M | 9K | – |
| PFIZER INC | COM | 2M | 55K | – |
| PHILIP MORRIS INTL INC | COM | 446K | 4K | – |
| PIMCO CORPORATE & INCM STRG | COM | 525K | 40K | – |
| PIMCO CORPORATE & INCOME OPP | COM | 543K | 38K | – |
| PRICE T ROWE GROUP INC | COM | 296K | 3K | – |
| PROLOGIS INC. | COM | 323K | 3K | – |
| PRUDENTIAL FINL INC | COM | 226K | 2K | – |
| PULTE GROUP INC | COM | 231K | 2K | – |
| QUALCOMM INC | COM | 5M | 25K | – |
| RADNET INC | COM | 3M | 48K | – |
| REALTY INCOME CORP | COM | 989K | 19K | – |
| REGENERON PHARMACEUTICALS | COM | 2M | 2K | – |
| REPUBLIC SVCS INC | COM | 239K | 1K | – |
| ROCKWELL AUTOMATION INC | COM | 309K | 1K | – |
| ROKU INC | COM CL A | 258K | 4K | – |
| ROSS STORES INC | COM | 207K | 1K | – |
| S&P GLOBAL INC | COM | 501K | 1K | – |
| SERVICENOW INC | COM | 5M | 6K | – |
| SHOPIFY INC | CL A | 301K | 5K | – |
| SIMPLIFY EXCHANGE TRADED FUN | STABLE INCM ETF | 578K | 23K | – |
| SNAP INC | CL A | 189K | 11K | – |
| SNOWFLAKE INC | CL A | 244K | 2K | – |
| SOFI TECHNOLOGIES INC | COM | 217K | 33K | – |
| SSGA ACTIVE TR | SPDR SSGA FXD | 226K | 9K | – |
| TESLA INC | COM | 13M | 67K | – |
| TETRA TECH INC NEW | COM | 1M | 6K | – |
| TEXAS INSTRS INC | COM | 501K | 3K | – |
| TFF PHARMACEUTICALS INC | COM NEW | 17K | 10K | – |
| TJX COS INC NEW | COM | 483K | 4K | – |
| T-MOBILE US INC | COM | 5M | 28K | – |
| TRANSOCEAN LTD | REGISTERED SHS | 163K | 30K | – |
| TRAVELERS COMPANIES INC | COM | 372K | 2K | – |
| UBER TECHNOLOGIES INC | COM | 727K | 10K | – |
| UNITEDHEALTH GROUP INC | COM | 1M | 3K | – |
| UNITY SOFTWARE INC | COM | 434K | 27K | – |
| VANGUARD BD INDEX FDS | INTERMED TERM | 7M | 93K | – |
| VANGUARD MUN BD FDS | TAX EXEMPT BD | 5M | 94K | – |
| VEEVA SYS INC | CL A COM | 2M | 11K | – |
| VERIZON COMMUNICATIONS INC | COM | 1M | 35K | – |
| VERTEX ENERGY INC | COM | 613K | 649K | – |
| VERTEX PHARMACEUTICALS INC | COM | 2M | 5K | – |
| VISA INC | COM CL A | 3M | 11K | – |
| WALMART INC | COM | 2M | 23K | – |
| WASTE MGMT INC DEL | COM | 785K | 4K | – |
| XYLEM INC | COM | 289K | 2K | – |
| ZOETIS INC | CL A | 817K | 5K | – |
| ZSCALER INC | COM | 371K | 2K | – |