← Tributary

NWF ADVISORY SERVICES INC

LOS ANGELES, CA · CRD 110410 · IAPD ↗ · 310-475-5854

$6.43BRegulatory AUM
102Advisory reps
111Employees
109Clients
101-250Planning clients
0Private funds
24States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

63
April 2026 — NWF ADVISORY SERVICES INC reports 101-250 financial-planning clients, up from 51-100.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
73
April 2026 — NWF ADVISORY SERVICES INC reported RAUM up 68% ($3.82B -> $6.43B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
85
April 2026 — NWF ADVISORY SERVICES INC grew from 71 to 102 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
55
June 2025 — NWF ADVISORY SERVICES INC notice-filed in CT, IN, KS, MN, NE, NJ, PA, TN.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
47
April 2025 — NWF ADVISORY SERVICES INC notice-filed in LA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
70
April 2025 — NWF ADVISORY SERVICES INC now reports custody of client assets ($29.5M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
85
April 2025 — NWF ADVISORY SERVICES INC grew from 2 to 71 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
47
April 2024 — NWF ADVISORY SERVICES INC notice-filed in GA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
55
April 2024 — NWF ADVISORY SERVICES INC added office(s): 37 -> 38 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
63
April 2024 — NWF ADVISORY SERVICES INC reports 51-100 financial-planning clients, up from 26-50.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
65
April 2024 — NWF ADVISORY SERVICES INC reported RAUM up 30% ($2.86B -> $3.71B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.