{"url":"https://nivawealth.com/firms/northwind-financial-342069","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/342069","regulatoryAum":142241176,"crd":"342069","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"4537399","suffix":null,"lastName":"BOECK","firstName":"BRADLEY","middleName":"JASON"},{"crd":"7832203","suffix":null,"lastName":"Serrapede","firstName":"Joseph","middleName":"John"},{"crd":"2074389","suffix":null,"lastName":"SERRAPEDE","firstName":"KEVIN","middleName":"JOHN"}],"total":3,"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"},"secFileNumber":"801-136199","legalName":"Northwind Financial LLC","displayName":"Northwind Financial","slug":"northwind-financial-342069","website":"https://northwindfinancial.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Oregon limited liability company","fiscalYearEnd":"December","headquarters":{"street":"2445 Ne Division St, Ste 204","city":"Bend","state":"OR","stateName":"Oregon","country":"United States","postalCode":"97703-3568"},"tradeNames":[],"registration":{"secApproved":"6 May 2026","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":846673.6666666666,"staff":{"employees":2,"advisory":2,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":142241176,"discretionary":142241176,"discretionaryAccounts":361,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":132,"regulatoryAum":45765188},{"label":"High-net-worth individuals","clients":36,"regulatoryAum":96475988}],"feePrograms":[{"role":"other","program":"Financial Planning","summary":"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.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1056465","versionId":1056465,"submittedOn":"2026-08-30","documentName":"NORTHWIND FINANCIAL LLC FIRM BROCHURE 08.21.26"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T18:17:30.314771+00:00","documents":[{"name":"NORTHWIND FINANCIAL LLC FIRM BROCHURE 08.21.26","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1056465","versionId":1056465,"submittedOn":"2026-08-30"},{"name":null,"status":"not_downloaded","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1056466","versionId":1056466,"submittedOn":null}]},"custodians":[],"custodyNote":"Northwind Financial does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Kevin Serrapede","title":"Chief Compliance Officer","crd":"2074389"},{"name":"Bradley Boeck","title":"Owner","crd":"4537399"}],"ownership":[{"label":"Bradley Boeck","detail":"Owner in the 75% or more ownership band and a control person, since January 2006."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Oregon","offices":1,"addresses":[{"street":"2445 Ne Division St, Ste 204","city":"Bend","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"541-318-7871","stateRegisteredReps":2,"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"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":86},{"label":"U.S. state and local bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":12},{"label":"Cash and cash equivalents","percent":1}],"privateFunds":0},"sources":{"adv1FilingDate":"30 August 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/342069/PDF/342069.pdf","brochureDate":"30 August 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1056465","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Northwind Financial have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Northwind Financial offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How many financial advisors does Northwind Financial have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Northwind Financial invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Northwind Financial?","answer":"Northwind Financial’s direct owner is Bradley Boeck (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 30 August 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Northwind Financial get paid?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Northwind Financial?","answer":"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.","source":"Form ADV Part 1A, Item 1.F, filed 30 August 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."}