A complete list of active advisors currently associated with Northwind Financial LLC

Warmer can help you find a great advisor at Northwind Financial LLC or one who fits your needs even better.

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.

To learn more about the advisors currently working at Northwind Financial LLC, click on their names below to view their profiles, or click here to see them all on a map. Or, if you tell us about your needs, Warmer can help you find the best advisor for you.