Northwind Financial provides financial planning and portfolio management for individuals and small businesses.
Northwind Financial reports 168 clients. They include 132 individual clients and 36 high-net-worth individuals. Of its assets, 100.0% ($142M across 361 accounts) are managed with discretion.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 79% | 32% |
| High-net-worth individuals | 21% | 68% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 132 | $45.8M | 32.2% | $347K |
| High-net-worth individuals | 36 | $96.5M | 67.8% | $2.68M |
| Total | 168 | $142M | 100% | $847K |
- Clients
- 132
- Regulatory AUM
- $45.8M
- AUM share
- 32.2%
- Avg. per client
- $347K
- Clients
- 36
- Regulatory AUM
- $96.5M
- AUM share
- 67.8%
- Avg. per client
- $2.68M
Total
- Clients
- 168
- Regulatory AUM
- $142M
- AUM share
- 100%
- Avg. per client
- $847K
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 0
Northwind Financial is paid through a percentage of assets under management, hourly charges and fixed fees (other than subscription fees). The reviewed brochures do not disclose an asset-based fee rate. Read the SEC-filed brochure. The brochure also prices one other service, listed under fee details.
Fee details and sources
Other fees
- Financial Planning
- Financial planning is billed hourly at $150 to $250 per hour, or as a fixed fee typically from $500 to $5,000, with any advance payment never above $500 for work not finished within six months.
Bradley Boeck owns 75% or more of Northwind Financial. The leadership team of Northwind Financial includes Chief Compliance Officer Kevin Serrapede. It has 2 employees.
Leadership
- Kevin SerrapedeChief Compliance Officer
- Bradley BoeckOwner
Investment adviser representatives
3 representatives listed in the SEC register as of 9 October 2026.
Staff
- 2 employees
- 2 in advisory functions
- 2 state-registered reps
- Owns 75% or more of Northwind Financial LLC
Bradley Boeck
Control person · since January 2006
Besides its headquarters, Northwind Financial has 0 offices, with 1 listed address in Oregon.
Oregon · 1 listed address
- 2445 Ne Division St, Ste 204, BendHQ
Contact and registration details
- Legal name
- Northwind Financial LLC
- Headquarters
- 2445 Ne Division St, Ste 204, Bend, OR 97703-3568
- Website
- northwindfinancial.com
- Phone
- 541-318-7871
- SEC file
- 801-136199
- Structure
- Oregon LLC
- Fiscal year end
- December
Northwind Financial does not have custody of client assets.
At year end, Northwind Financial’s separately managed accounts were mostly in stocks (86%) and funds (12%).
What the accounts hold
- Stocks86%
- Funds12%
- Bonds1%
- Cash1%
How many clients does Northwind Financial have?
Northwind Financial has 168 clients and manages $142 million for them, as of August 2026. They include 132 individual clients and 36 high-net-worth individuals.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 30 August 2026
What services does Northwind Financial offer?
Northwind Financial provides financial planning and portfolio management for individuals and small businesses.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How many financial advisors does Northwind Financial have?
Northwind Financial has 2 investment adviser representatives registered with state securities authorities, out of 2 employees, and 2 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
What does Northwind Financial invest in?
At the end of its last fiscal year, Northwind Financial’s separately managed accounts held 86% exchange-traded equities, 12% registered funds (mutual funds, ETFs, BDCs), 1% state and local bonds and 1% cash and equivalents.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Northwind Financial?
Northwind Financial’s direct owner is Bradley Boeck (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 30 August 2026
How does Northwind Financial get paid?
Northwind Financial 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
How do I contact Northwind Financial?
Northwind Financial’s main office is at 2445 Ne Division St, Ste 204, Bend, OR 97703-3568. Its phone number is 541-318-7871. Its website is northwindfinancial.com.