Northwind Financial LLC
● SEC registered since 2026CRD 342069SEC# 801-136199Bend, OR
Reg. AUM
$105.4M
Employees
2
Accounts
328
Location
Bend, OR
Northwind Financial LLC assets under management
Northwind Financial LLC is an investment advisory firm registered with the SEC based in Bend, OR. The firm has been registered since 2026. It reports $105.4 million in regulatory assets under management and employs 2 people.
Northwind Financial LLC owners & executives
2 reported| Name | Title | Ownership | Since |
|---|---|---|---|
| Bradley Jason Boeck Control | Owner | Over 75% | 2006 |
| Kevin John Serrapede Control | Chief Compliance Officer | Under 5% | 2026 |
Frequently asked questions
How much does Northwind Financial LLC manage?
Northwind Financial LLC reports $105.4 million in regulatory assets under management on its Form ADV.
How many employees does Northwind Financial LLC have?
Northwind Financial LLC reports 2 employees.
Where is Northwind Financial LLC located?
Northwind Financial LLC is based in Bend, OR and has been SEC-registered since 2026.
Does Northwind Financial LLC disclose fund performance?
Northwind Financial LLC is not required to publicly disclose fund returns. Form ADV filings include assets, ownership, and service providers, shown above.
Contact & registration
| Address | 2445 NE Division St, Ste 204, Bend, OR 97703-3568 |
| Phone | 541-318-7871 |
| Fax | 541-318-7871 |
| Office hours | 6a.m.-3p.m. |
| SEC region | San Francisco Regional Office (SFRO) |
| Discloses disciplinary history | No |
Regulatory AUM
$105.4MNo change
Apr '26Form ADV, monthlyJun '26
How this firm compares
Regulatory AUMTop 92%
Larger than 8% of 16,271 advisers
EmployeesTop 86%
More than 14% of 16,825 advisers
Assets under management
$105.4Mregulatory AUM
Discretionary $105.4M