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NORTHWIND FINANCIAL LLC

BEND, OR · CRD 342069 · IAPD ↗ · northwindfinancial.com · 541-318-7871

$142.2MRegulatory AUM
2Advisory reps
2Employees
0Clients
0Planning clients
0Private funds
3States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

70
October 2026 — NORTHWIND FINANCIAL LLC's provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
61
September 2026 — NORTHWIND FINANCIAL LLC reported RAUM up 35% ($105.4M -> $142.2M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
95
June 2026 — NORTHWIND FINANCIAL LLC (BEND, OR) is newly SEC-registered (provisional 120-day approval) with $105.4M RAUM and 2 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

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