AdvisorCensus / Financial advisors / New York / Buffalo / North Woods Wealth Management
North Woods Wealth Management
Filed as NORTH WOODS WEALTH MANAGEMENT · Legal name North Woods Asset Management LLC
North Woods Wealth Management is an SEC-registered investment advisory firm in Buffalo, NY, registered since 2019, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 14, 2026.
Quick answers
From the filingHow is North Woods Wealth Management compensated?
On its Form ADV (Item 5.E, October 2026), North Woods Wealth Management reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees).
What does North Woods Wealth Management's brochure say about its fees?
Its Form ADV Part 2A brochure dated March 14, 2026 states: Asset-based fee: 0.5% to 1% a year (a range, as the brochure states it). Fees can differ by service and may be negotiable; the brochure is the complete statement.
Where is North Woods Wealth Management located?
North Woods Wealth Management's principal office is in Buffalo, NY, according to its Form ADV.
Is North Woods Wealth Management registered with the SEC or a state?
North Woods Wealth Management is an SEC-registered investment advisory firm, registered since 2019. Status as filed: Approved. CRD 226575.
How much does North Woods Wealth Management manage?
North Woods Wealth Management reports $150,393,137 in regulatory assets under management in its Form ADV filing dated March 14, 2026 (100% discretionary).
How have North Woods Wealth Management's assets and staff changed since 2021?
In the Form ADV data for North Woods Wealth Management: Regulatory assets under management: $35,201,679 in the October 2021 data and $150,393,137 in the October 2026 data, up 327%. Total employees: 3 in October 2021 and 2 in October 2026. Assets under management move with markets as well as with clients coming and going.
What types of clients does North Woods Wealth Management serve?
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (149); high net worth individuals (45).
Which custodians does North Woods Wealth Management use?
North Woods Wealth Management's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets.
Does North Woods Wealth Management report any disciplinary disclosures?
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/226575
Does North Woods Wealth Management state an account minimum?
Its Form ADV Part 2A brochure dated March 14, 2026 says: "Due to the level of attention and work required to serve each client, North Woods has a portfolio minimum of $ 1,000,000." "North Woods provides personalized investment advisory services to individuals, trusts, and retirement plans. North Woods typically requires clients to place a minimum of $ 1,000,000 with the firm but may waive this minimum at our discretion."
What changed in North Woods Wealth Management's recent Form ADV filings?
In the April 2026 filing data: Regulatory assets under management went from $74,820,707 to $150,393,137 (+101%).
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- A percentage of assets under your management
- Fixed fees (other than subscription fees)
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Fees and minimums
Form ADV Part 2AAsset-based fee: 0.5% to 1% a year (a range, as the brochure states it)
The brochure's wording
Generally, fees vary from 0.50% to 1.00% per annum of the market value of a client’s assets managed by North Woods. The fee range stated is a guide.
Account minimum: $1,000,000 (the brochure says it may be waived or negotiated)
The brochure's wording
Due to the level of attention and work required to serve each client, North Woods has a portfolio minimum of $ 1,000,000.
North Woods provides personalized investment advisory services to individuals, trusts, and retirement plans. North Woods typically requires clients to place a minimum of $ 1,000,000 with the firm but may waive this minimum at our discretion.
Minimum annual fee: $2,500
The brochure's wording
North Woods does implement a minimum annual fee of $2,500.
As stated in the firm's Form ADV Part 2A brochure dated March 14, 2026. Fees can differ by service and may be negotiable; the brochure is the complete statement. Read the brochure on the SEC's IAPD site
Regulatory assets under management
Item 5.F$150,393,137 as of October 2026, filing dated March 14, 2026.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services
Registration and firm details
Items 1, 2, 5- Legal name
- North Woods Asset Management LLC
- Also doing business as
- NORTH WOODS WEALTH MANAGEMENT
- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 2019 (7 years)
- Employees
- Total: 2. Performing investment advisory functions: 2.
- Wrap fee program participation
- No.
- Custodians (Schedule D, Section 5.K(3))
-
Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.
- States registered or notice-filed
-
1 state or jurisdiction
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Assets and staff over time
Items 5.A, 5.F| Data period | Assets under management | Employees | Filing dated |
|---|---|---|---|
| October 2026 | $150,393,137 | 2 | March 14, 2026 |
| October 2025 | $74,820,707 | 2 | July 2, 2025 |
| October 2024 | $64,838,489 | 2 | March 13, 2024 |
| October 2023 | $53,042,849 | 2 | July 10, 2023 |
| October 2022 | $49,178,456 | 2 | June 30, 2022 |
| October 2021 | $35,201,679 | 3 | September 2, 2021 |
Regulatory assets under management: $35,201,679 in the October 2021 data and $150,393,137 in the October 2026 data, up 327%.
Total employees: 3 in October 2021 and 2 in October 2026.
As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.
Changes in the filing
Last 12 months- April 2026
- Regulatory assets under management went from $74,820,707 to $150,393,137 (+101%).
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.ISource: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. North Woods Wealth Management (CRD 226575): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/north-woods-wealth-management-buffalo-ny-226575