Northwest Capital Management Inc

CRD#108091
Investment Advisor Firm

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Overview

Northwest Capital Management Inc is a financial advisor firm headquartered in Portland, Oregon. The firm oversees $4.0 billion in assets under management across 1,133 client accounts, making it one of the biggest financial advisory firms in the country by assets under management (AUM). It has a small team of 15 employees, including eight financial advisors. Northwest Capital Management Inc is not a registered broker-dealer, signifying that it is not able to buy and sell securities for its clients' and own accounts and instead must go through a broker-dealer company to do so. Securities are defined as tradable financial investments such as options, equities and bonds.

Northwest Capital Management Inc manages 942 of the company's client assets on a discretionary basis. Discretionary management is a structure in which an investment advisor makes transaction judgments for the client's account without requiring client permission. The company also oversees 191 non-discretionary accounts with a total of $1.8 billion in AUM. The company administers about $3.5 million for every customer account. An average advisor at Northwest Capital Management Inc oversees about 142 client accounts.

Northwest Capital Management Inc's main office is at 13333 Sw 68Th Pkwy, Portland, Oregon 97223. The firm is registered to serve investors across a number of states, including Arizona, California, Idaho, Oregon and Washington.

Assets Under Management

$4.0 billion

Number of Advisors

8

Disclosures

No

Office Location

13333 Sw 68Th Pkwy
Portland, OR 97223

Northwest Capital Management Inc by the Numbers

Total Assets Under Management

$4.0 billion

National Average: $3.7 billion
Total Number of Employees

15

National Average: 29
Total Number of Accounts

1,133

National Average: 2,073
Average Account Size

$3.5 million

National Average: $1.8 million

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Products and Services

Northwest Capital Management Inc provides multiple services, including 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 prior fiscal year, the firm provided financial planning services to 101-250 of its clients. The company is not involved in selling products or offering services apart from investment advice to its investment advisory accounts.

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

Fees charged by financial advisors largely are based on which services the firm provides the client. However, fees charged by Northwest Capital Management Inc most likely consist of the following fee structures: asset-based, hourly or fixed. The company does not supply a wrap fee program, in which the firm offers a bundle of services for a comprehensive 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

Northwest Capital Management Inc does business with a broad range of customers. It provides services to retail investors, high net worth investors, pension plans, charitable organizations, state or municipal government entities, corporations and other. Out of its 1,133 accounts, Northwest Capital Management Inc's largest client type is retail investors, but it also manages money for 134 high-net-worth individuals. A high-net-worth individual is defined by the SEC as someone who has at least $750,000 under management or a net worth of at least $1.50 million or who is deemed a "qualified purchaser" (a standard met by having at least $5 million in investments). None of the firm's customers are from outside of the U.S.

  • High-Net-Worth Individuals* - 32.45%
  • Other Individuals - 39.95%
  • Corporations - 26.63%
  • Charitable Organizations - 0.97%

* 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

Northwest Capital Management Inc does not have any disclosures.

Please visit its Form ADV for more details.

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Financial Advisors at Northwest Capital Management Inc

Christopher Martin
Portland, OR
Joan Lintz
Portland, OR
Carl Schopfer
Portland, OR
Christopher Haddon
Portland, OR
Ian Pileggi
Portland, OR
Brent Petty
Portland, OR
Scott Rhodes
Seattle, WA
Frederick Payne
Portland, OR
Scott Fisher
Seattle, WA

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This content was compiled from the SEC and FINRA