Nwf Advisory Services Inc

CRD#110410
Investment Advisor Firm

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Overview

Nwf Advisory Services Inc is a financial advisor company headquartered in Los Angeles, California. The firm has $1.4 billion in assets under management throughout 3,449 accounts, placing it among the largest financial advisory firms in the nation by assets under management (AUM). The firm has a small group of seven employees, five of whom are financial advisors. Nwf Advisory Services Inc is not a registered broker-dealer, signifying that the company is not able to buy and sell securities for its customers' and own accounts and instead must go through a broker-dealer company to do so. Securities are defined as exchangable fiscal investments such as bonds, options and stocks.

Nwf Advisory Services Inc oversees the majority of the company's accounts in a discretionary manner. Discretionary management means that an investment advisor has the discretion to make buy and sell decisions for the client's account without requiring client consent. It also has 1,394 non-discretionary accounts with a total of $473.7 million in assets under management. The firm manages an average of $412,486 for each client account. An average financial advisor at Nwf Advisory Services Inc administers around 690 client accounts.

The company's headquarters is at 11835 W Olympic Blvd, Los Angeles, California 90064. The company is legally registered to serve customers throughout 10 states, including Alaska, Arizona, California, Florida, Hawaii, Nevada, New York, Oregon, Texas and Washington.

Assets Under Management

$1.4 billion

Number of Advisors

5

Disclosures

No

Office Location

11835 W Olympic Blvd
Los Angeles, CA 90064

Nwf Advisory Services Inc by the Numbers

Total Assets Under Management

$1.4 billion

National Average: $3.7 billion
Total Number of Employees

7

National Average: 29
Total Number of Accounts

3,449

National Average: 2,073
Average Account Size

$412.5 thousand

National Average: $1.8 million

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Products and Services

Nwf Advisory Services Inc provides a variety of services, which can consist of financial planning services, portfolio management for individuals and small businesses, portfolio management for institutional clients, pension consulting services, selection of other advisers and educational seminars. In the past fiscal year, Nwf Advisory Services Inc provided 11-25 of its clients with financial planning services. The firm is not engaged in selling products or offering services aside from investment advisory services to its investment advisory clients. The firm is affiliated with a number of other service providers in the financial services industry, including with an insurance company or agency and real estate broker or dealer.

Core Advisor Services

  • Offered by 45% of firms

    Financial Planning Services

    This is the process of planning for your financial future, including for events such as retirement, your child's college education or estate succession.

  • Offered by 62% of firms

    Portfolio Management

    This is the selection and management of an investment mix and portfolio strategy for individuals and small businesses.

  • Find a firm that offers this service

    Market Timing Services

    This is the practice of attempting to make short-term profits on investments by buying low and selling high.

Other Services

  • Offered by 23% of firms

    Selection of Other Advisors

    This is the firm's assistance with choosing other advisors to work with who may have different specialties.

  • Find a firm that offers this service

    Publication of Periodicals

    This is the publication of various financial education materials.

  • Offered by 10% of firms

    Educational Seminars/Workshops

    This is the hosting of seminars or workshops to educate investors on financial concepts.

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Fee Structure

Financial management fees depend on the financial services offered. However, fee types billed by Nwf Advisory Services Inc likely are comprised of some combination of the following fee structures: asset-based, hourly or fixed. Nwf Advisory Services Inc does participate in a wrap fee program, in which the company offers a bundle of services for a single fee.

Available

  • Offered by 74% of firms

    Percentage of Assets

    Show Explanation

    This fee, which is the most common fee type charged by advisors for portfolio management, is based on the amount of assets you have under management. Also referred to as an asset-based fee, this fee typically ranges from 0.50%-2.00% of AUM annually. You'll typically pay a lower rate the more assets you have under management.

  • Offered by 35% of firms

    Hourly

    Show Explanation

    Like a lawyer, a financial advisor may charge you by the hour. This can be helpful if you are only looking for short-term or one-time advice. Rates typically range from $100-$300 per hour, depending on the complexity and level of services needed.

  • Offered by 40% of firms

    Fixed

    Show Explanation

    Fixed fees are a one-time, lump sum charged for a specific service, like the creation of a financial plan without subsequent implementation. This can be useful if you only need advice for one specific purpose, rather than a long-term advisor. Fixed fees usually range from $1,000 to $3,000.

Unavailable

  • Find one of the 2% of firms that offer this fee type

    Commissions

    Show Explanation

    Occasionally, advisors earn commissions from selling financial products, such as securities or insurance policies, or making certain referrals or transactions. Advisors who earn commissions may be incentivized to make certain recommendations to clients in order to make a commission. Fee-only advisors do not earn commissions, while fee-based advisors may.

  • Find one of the 17% of firms that offer this fee type

    Performance-based

    Show Explanation

    Advisors only earn performance-based fees if a portfolio outperforms a defined benchmark. This fee may be calculated in a number of ways but most commonly is charged as a percentage of investment profits. Performance-based fees may incentivize advisors to make riskier decisions in order to generate higher returns.

  • Find one of the 1% of firms that offer this fee type

    Subscription

    Show Explanation

    Firms generally charge this fee for educational materials provided, such as a monthly magazine. This can be useful if you want to learn about investing or financial management on your own.

  • Find one of the 12% of firms that offer this fee type

    Other

    Show Explanation

    Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

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Types of Clients

It provides services to retail investors. Out of its 3,449 customers, Nwf Advisory Services Inc's biggest client type by number of accounts is retail investors. None of its clients are represented by non-U.S. persons.

  • High-Net-Worth Individuals* - 0%
  • Other Individuals - 100%
  • Corporations - 0%
  • Charitable Organizations - 0%

* The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.

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Disclosures

Nwf Advisory Services Inc does not have any disclosures.

Please visit its Form ADV for more details.

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Financial Advisors at Nwf Advisory Services Inc

Rebecca Cameron
Walnut Creek, CA
Sheryl Manos
Newport Beach, CA
Justin Arce
Los Angeles, CA
Willow Drazen
Los Angeles, CA
James Johnson
Irvine, CA
Vayle Floria
Orange, CA
Heather Scully
Los Angeles, CA
Jeromy Park
Orange, CA
Andrew Stewart
Campbell, CA

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This content was compiled from the SEC and FINRA