{"url":"https://nivawealth.com/firms/northwest-capital-management-108091","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/108091","regulatoryAum":8518580384,"crd":"108091","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"6365226","suffix":null,"lastName":"Alvarado","firstName":"Jason","middleName":"Nicholas"},{"crd":"7828176","suffix":null,"lastName":"Heinrichs","firstName":"Mia","middleName":"Tinyi"},{"crd":"2289399","suffix":null,"lastName":"HOERBER","firstName":"PETER","middleName":"SCOTT"},{"crd":"6617193","suffix":null,"lastName":"Johnson","firstName":"Mary","middleName":null},{"crd":"1976283","suffix":null,"lastName":"MARTIN","firstName":"CHRISTOPHER","middleName":"J"},{"crd":"4033087","suffix":null,"lastName":"PETTY","firstName":"BRENT","middleName":"JAMESON"},{"crd":"1389335","suffix":null,"lastName":"RHODES","firstName":"SCOTT","middleName":"ALAN"}],"total":7,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-03-29","regulatoryAum":5660880241,"clients":457,"employees":15,"offices":2},{"filedOn":"2022-03-29","regulatoryAum":6487085957,"clients":478,"employees":17,"offices":2},{"filedOn":"2023-07-17","regulatoryAum":5476500419,"clients":492,"employees":17,"offices":2},{"filedOn":"2024-07-17","regulatoryAum":6856132947,"clients":520,"employees":17,"offices":2},{"filedOn":"2025-04-09","regulatoryAum":7551077444,"clients":454,"employees":17,"offices":2},{"filedOn":"2026-05-05","regulatoryAum":8518580384,"clients":203,"employees":11,"offices":2}],"acquisitions":[{"date":"2026-03-10","datePrecision":"day","name":"Pure Portfolios Holdings (Pure Portfolios)","crd":"311002","source":"adv_w","dealType":"acquisition","sellerAum":360472868,"sellerAumDate":"2025-01-30","sourceUrl":"https://adviserinfo.sec.gov/firm/summary/311002"}],"secFileNumber":"801-56420","legalName":"Northwest Capital Management Inc","displayName":"Northwest Capital Management","slug":"northwest-capital-management-108091","website":null,"classification":{"segment":"institutions","segmentLabel":"Institutional","type":"retirement_plan_adviser","typeLabel":"Retirement plans","feeDisclosure":"payment_only"},"linkedinUrl":"https://www.linkedin.com/company/northwest-capital-management-inc./","founded":null,"organization":"Oregon corporation","fiscalYearEnd":"December","headquarters":{"street":"1 Centerpointe Drive, Suite 115","city":"Lake Oswego","state":"OR","stateName":"Oregon","country":"United States","postalCode":"97035"},"tradeNames":[],"registration":{"secApproved":"14 May 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businesses","clients":3,"regulatoryAum":4426028}],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[{"name":"Fidelity Brokerage Services LLC","shortName":"Fidelity","location":"Boston, MA","smaAssets":2749058615},{"name":"Voya Institutional Trust Company","shortName":"Voya","location":"Windsor, CT","smaAssets":833698901},{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Sab Francisco, OR","smaAssets":690100946}],"custodyNote":"Northwest Capital Management has custody of $9.72M in client assets for 14 clients.","otherCustodians":[],"leadership":[{"name":"George White","title":"President/Director","crd":"3057759"},{"name":"Kristin Streff","title":"Chief Compliance Officer","crd":"8253891"},{"name":"Mark Applegarth","title":"Director","crd":"5243868"},{"name":"Lantz Hunt","title":"SVP, Chief Integrations Officer","crd":"3017958"},{"name":"Julie Pine","title":"Director","crd":"7802324"},{"name":"John Pulverenti","title":"Secretary","crd":"7593938"}],"ownership":[{"label":"Carson Group Holdings, LLC.","detail":"Direct owner in the 75% or more ownership band and a control person, since June 2023."},{"label":"Omani Carson","detail":"Indirect owner: a owner of Carson Group, Inc. in the 75% or more band and a control person, since December 1994.","parent":"Carson Group, Inc."},{"label":"Carson Group, Inc.","detail":"Indirect owner: a direct owner of Carson Group Holdings, LLC. in the 25% to 50% band and a control person, since July 2019.","parent":"Carson Group Holdings, LLC."},{"label":"BCC Blue Print Holdings II, LLC","detail":"Indirect owner: a direct owner of Carson Group Holdings, LLC. in the 25% to 50% band and a control person, since July 2021.","parent":"Carson Group Holdings, LLC."},{"label":"BCC Blue Print Holdings I, LLC","detail":"Indirect owner: a direct owner of BCC Blue Print Holdings II, LLC in the 75% or more band and a control person, since July 2021.","parent":"BCC Blue Print Holdings II, LLC"},{"label":"BCC Blue Print Investments, LP","detail":"Indirect owner: a direct owner of BCC Blue Print Holdings I, LLC in the 75% or more band and a control person, since July 2021.","parent":"BCC Blue Print Holdings I, LLC"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":0},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"Oregon","offices":1,"addresses":[{"street":"1 Centerpointe Drive, Suite 115","city":"Lake Oswego","headquarters":true}]},{"state":"Washington","offices":1,"addresses":[{"street":"601 Union Street","city":"Seattle"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"503-597-1616","stateRegisteredReps":7,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients","Pension consulting services","Selection of other advisers (including private fund managers)","Educational seminars/workshops"],"financialPlanningClients":"101-250","assetMix":[{"label":"Exchange-traded equity securities","percent":7},{"label":"Investment grade corporate bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":72},{"label":"Cash and cash equivalents","percent":7},{"label":"Other","percent":11,"detail":"Variable Annuities, Limited Partnerships and Private Holdings"}],"privateFunds":0},"sources":{"adv1FilingDate":"5 May 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/108091/PDF/108091.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-21","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Northwest Capital Management have?","answer":"Northwest Capital Management has 203 clients and manages $8.52 billion for them, as of May 2026. They include 81 pension and profit-sharing plans, 56 high-net-worth individuals, and 37 individual clients.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 5 May 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Northwest Capital Management offer?","answer":"Northwest Capital Management provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, selecting other managers, and educational seminars.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Northwest Capital Management use?","answer":"Northwest Capital Management’s separately managed account assets are held at Fidelity Brokerage Services LLC (Boston, MA), with $2.75B, Voya Institutional Trust Company (Windsor, CT), with $834M and Charles Schwab & Co., Inc. (Sab Francisco, OR), with $690M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 5 May 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Northwest Capital Management have?","answer":"Northwest Capital Management has 7 investment adviser representatives registered with state securities authorities, out of 11 employees, and 7 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Northwest Capital Management invest in?","answer":"At the end of its last fiscal year, Northwest Capital Management’s separately managed accounts held 72% registered funds (mutual funds, ETFs, BDCs), 11% other, 7% exchange-traded equities, 7% cash and equivalents and 1% investment grade corporate bonds. The 11% other category is described as: Variable Annuities, Limited Partnerships and Private Holdings.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Northwest Capital Management?","answer":"Northwest Capital Management is owned through a chain of holding companies by Omani Carson and BCC Blue Print Investments, LP. Its direct owner is Carson Group Holdings, LLC. (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 5 May 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Northwest Capital Management get paid?","answer":"Northwest Capital Management is paid through a percentage of assets under management, hourly charges and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Northwest Capital Management?","answer":"Northwest Capital Management’s main office is at 1 Centerpointe Drive, Suite 115, Lake Oswego, OR 97035. Its phone number is 503-597-1616.","source":"Form ADV Part 1A, Item 1.F, filed 5 May 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}