Northwind Financial LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Northwind Financial LLC is a small, supported registered investment adviser serving individuals (including high‑net‑worth clients), retirement accounts and a limited number of corporate clients. The firm offers discretionary portfolio management and standalone financial planning engagements, and reports managing about $142 million for roughly 168 clients with a three‑advisor team.
Portfolios are customized through asset allocation that draws on fundamental and technical analysis and can include individual stocks and bonds, mutual funds and ETFs, options, and alternative strategies such as commodities and managed futures. The firm uses third‑party research (for example Schwab, Morningstar and Investech), conducts regular account reviews and rebalancing, and supplements human investment judgment with AI tools for research and to summarize client meetings — with all AI outputs subject to advisor and Chief Compliance Officer review.
Notable operational features include managing client assets almost exclusively on a discretionary basis and a trade practice of executing client trades separately rather than batching them, which can affect execution sequencing and volume opportunities. Northwind also discloses that it does not vote client proxies, uses an external compliance consultant, and provides a fee offset option when financial planning clients move into portfolio management.
Client services
Expertise
Fee options
Financial Planning fixed fees ranging from $500 to $5,000.
$0 - $250,000: 1.50% $250,001 - $500,000: 1.25% $500,001 - $1,000,000: 1.10% $1,000,001 - $2,000,000: 0.95% $2,000,001 - $5,000,000: 0.80% $5,000,001+: 0.65%
Financial Planning hourly fees from $150 to $250 per hour.
Fee-only: Financial Planning fees charged hourly from $150 to $250 per hour or fixed fees ranging from $500 to $5,000.
Main office
2445 NE Division St, Ste 204
Bend OR 97703-3568
Advisors at this office
3
Most active in
Ohio
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Advisors at this firm
Bradley B
ChFC®, Series 63, Series 65
Bend, OR
Northwind Financial LLC
Bradley Boeck is a ChFC® credentialed financial advisor with 24 years of industry experience. He has worked at Syndicated Capital Inc. since 2009 and is the owner of Northwind Financial LLC, where he has also been involved in health and life insurance sales. Northwind Financial LLC is a supported registered investment adviser serving individuals, including high-net-worth clients, retirement accounts, and a limited number of corporate clients. The firm provides discretionary portfolio management and standalone financial planning, managing approximately $142 million across roughly 168 clients with a three-advisor team.
Joseph S
Series 65
Bend, OR
Northwind Financial LLC
Joseph Serrapede is a Series 65-licensed financial advisor with two years of industry experience. He has worked at Northwind Financial LLC since 2026 and previously spent three years at Capstone Wealth Management Group, LLC. Outside of advising, he has worked in education with the Bend LaPine School District and held a role at Ger-Bear LLC. Northwind Financial LLC is a supported registered investment adviser serving individuals—including high-net-worth clients—retirement accounts, and select corporate clients. The firm offers discretionary portfolio management and standalone financial planning, using a combination of fundamental and technical analysis alongside third-party research and AI tools to customize client portfolios.
Kevin S
CFP®, Series 63, Series 65
Bend, OR
Northwind Financial LLC
Kevin Serrapede is a CFP® with 22 years of industry experience, currently serving as an advisor at Northwind Financial LLC. He has worked at Capstone Wealth Management firms since 2004, including Capstone Wealth Management Group, Inc. for one year. Northwind Financial LLC is a small, supported registered investment adviser serving individuals, retirement accounts, and select corporate clients. The firm offers discretionary portfolio management and standalone financial planning, using customized asset allocation strategies that incorporate fundamental and technical analysis, alternative investments, and AI-assisted research.
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