# Northwind Financial LLC

> Northwind Financial LLC is an SEC-registered investment advisory firm in Bend, OR, registered since 2026, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated August 30, 2026.

- CRD: 342069
- Filed as: NORTHWIND FINANCIAL LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Bend, OR
- Filing period: October 2026
- Form ADV filing dated: August 30, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/342069
- AdvisorCensus page: https://advisorcensus.com/firm/northwind-financial-llc-bend-or-342069

## Quick answers

**How is Northwind Financial LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Northwind Financial LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees).

**Where is Northwind Financial LLC located?**
Northwind Financial LLC's principal office is in Bend, OR, according to its Form ADV.

**Is Northwind Financial LLC registered with the SEC or a state?**
Northwind Financial LLC is an SEC-registered investment advisory firm, registered since 2026. Status as filed: Approved. CRD 342069.

**How much does Northwind Financial LLC manage?**
Northwind Financial LLC reports $142,241,176 in regulatory assets under management in its Form ADV filing dated August 30, 2026 (100% discretionary).

**What types of clients does Northwind Financial LLC serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (132); high net worth individuals (36).

**Does Northwind Financial LLC 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/342069

**What changed in Northwind Financial LLC's recent Form ADV filings?**
In the September 2026 filing data: Regulatory assets under management went from $105,443,057 to $142,241,176 (+35%).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

### Regulatory assets under management (Item 5.F)
- Total: $142,241,176
- Discretionary: $142,241,176
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 132 | $45,765,188 |
| High net worth individuals | 36 | $96,475,988 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses

### Firm details
- Registered since: 2026 (0 years)
- Employees: 2 total, 2 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CA, OR, WA
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- northwindfinancial.com

## Changes in the filing (last 12 months)

### September 2026
- Regulatory assets under management went from $105,443,057 to $142,241,176 (+35%).

### June 2026
- Newly registered with the SEC.
- Updated its list of owners and control persons (Schedule A).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Northwind Financial LLC (CRD 342069): Form ADV filing data as of October 2026.