NWAM, LLC

CRD

147923

SEC file #

801-69483

EIN

000000000

DBA names

Northwest Asset Management

Economics

AUM

$4.13B

AUM band

$1B+

AUM trajectory

'20 · $1.37B

'21 · $1.91B

'22 · $2.44B

'23 · $3.23B

'25 · $3.61B

'26 · $4.13B

'20'26

$1.37B → $4.13B▲ +201%

sec adv history

Client mix

Individuals Other	1,926
Individuals High Net Worth	832
Other	10
Corporations	8

Operations

Employees (total)

Advisory staff (per ADV)

Advisory staff (5-yr trend)

'20 · 31 advisors

'21 · 39 advisors

'22 · 44 advisors

'23 · 42 advisors

'25 · 38 advisors

'26 · 44 advisors

'20'26

31 advisors → 44 advisors▲ +42%

sec adv history

Primary office

MERCER ISLAND WA

Branches

—

Custodian & Brokerage

Primary custodian

Charles Schwablow confidence

adv brochure

Services offered

Financial planningPortfolio mgmt — individualsPension consultingEducational Seminars Workshops

Fee basis

% of AUMHourly chargesFixed fees

Filings

Latest ADV filing

03/31/2026

twitter.com/riainnovations(social)

ADV-W filed at

—

Website

Compliance

Disclosures (firm)

Trademark

—

Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name

NW HOLDINGS GROUP, INC.

Top Owner Pct

87.5

Top Owner Entity Kind

Owner Count

Control Persons

NW HOLDINGS GROUP, INC.

HEADRICK, GREGORY, ALLEN

Solo Advisor Indicator

Succession Risk Solo Owner

Is Parent Owned Subsidiary

Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed

sec adv w

Web presence ★

Stale website = winding down

Web Signal Quality

fallback_guess:nwam.com

rdap

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book

form 5500

SEC EDGAR

Edgar Cik

0001655006

Edgar Registered

Yes

Edgar Filing Count

Edgar First Filing Date

2015-10-15

Edgar Last Filing Date

2026-05-04

Edgar 13f Count

Edgar 13f Latest AUM Estimate

Filing Date2026-05-04

Accession0001655006-26-000004

Compliance & brand

Firm Registration Status

active

sec adv w

All other collected signals (11)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed

sec adv w

Bc Firm Active Bc Count

brokercheck firm search

Bc Firm Active IA Count

brokercheck firm search

Bc Firm IAR Count

brokercheck firm search

Custodian Candidates

Full

Charles Schwab	6
E*trade	4
Fidelity	2

adv brochure

Edgar Addresses

Mailing

2835 82ND AVE SESUITE 100MERCER ISLAND, WA 98040

Business

2835 82ND AVE SESUITE 100MERCER ISLAND, WA 98040

Edgar EIN

000000000

Edgar Recent Filings

13F-HR2026-05-04 · 0001655006-26-000004

13F-HR/A2026-02-04 · 0001655006-26-000003

Firm Has Custody

Yes

Mailing Office Differs

Trust Company Affiliate