Northwind Financial Llc
State-registered
Wealth Manager · Small ($100M–$1B)
CRD 342069
· SEC file 801-136199
· Bend, OR
· www.northwindfinancial.com
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ADV data as of Aug 30, 2026
- Regulatory AUM
- $142M
- Discretionary
- $142M
- Clients
- 168
- Avg AUM / client
- $847K
- Accounts
- 361
- Employees
- 2
AUM over time
$105M
$142M
Apr 6, 2026
Aug 30, 2026
Reported AUM from Form ADV filings, plotted by filing date · as of Aug 30, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 132 | $45.8M | 32.2% |
| High net worth individuals | 36 | $96.5M | 67.8% |
People (3)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Kevin John Serrapede | Registered representative | CFP | May 2026 (0y) | |
| Bradley Jason Boeck | Registered representative | Chartered Financial Consultant | Jun 2026 (0y) | |
| Joseph John Serrapede | Registered representative | Jul 2026 (0y) |
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 06/11/2026 | 1.18 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
Custody
Firm reports it does not have custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Aug 30, 2026.
View current Form ADV (SEC/IAPD) ↗