NWM Advisors, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$285,778,959
Clients
171
Advisors
2
of 2 employees
About
NWM Advisors, LLC provides investment advisory services to individuals (including high net worth clients), trusts, retirement plans, and business entities, offering comprehensive portfolio management, retirement plan consulting, and 529 account management through American Funds. The firm manages roughly $329 million in client assets across about 171 client relationships and does not impose formal requirements to open or maintain accounts.
In constructing portfolios the firm emphasizes strategic asset allocation and combines fundamental, technical and cyclical analysis to select positions in equities, bonds, ETFs and mutual funds, with regular monitoring and rebalancing. Clients may grant the firm discretionary authority or impose investment restrictions, and the 529 account management service is offered as a complimentary, limited service restricted to American Funds mutual funds and without discretionary trading by the firm.
Distinctive aspects include operating with a small advisory team relative to its asset base and providing retirement plan consulting while acknowledging ERISA fiduciary duties to plan clients. The firm also discloses that it assesses advisory fees on cash and cash equivalents unless otherwise agreed and has documented custodial safeguards and procedures for standing transfer instructions.
Client services
Expertise
Fee options
$0+: Up to 1.5% annually (maximum) $0+: Up to 1.5% annually (maximum) for Retirement Plan Consulting
Fee-only: Fees are based on percentage of assets under management, up to 1.5% annually.
Main office
735 Tank Farm Road, Suite 250
San Luis Obispo CA 93401
Advisors at this office
2
Most active in
California · Nevada · Texas
Also doing business as
Nw Management LLC · Nwm Advisors, LLC
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
Sergio H
ChFC®, Series 65
San Luis Obispo, CA
NWM Advisors, LLC
Sergio Holguin is a financial advisor at NWM Advisors, LLC with five years of industry experience. He holds the ChFC® designation and Series 65 license. Prior to joining NWM Advisors in 2019, he worked at The Tribune Newspaper for 17 years. NWM Advisors, LLC provides investment advisory services to individuals, trusts, retirement plans, and business entities, managing approximately $329 million in client assets. The firm employs a strategic asset allocation approach combined with fundamental, technical, and cyclical analysis, and offers retirement plan consulting while adhering to ERISA fiduciary duties.
Kevin N
Series 63
San Luis Obispo, CA
NWM Advisors, LLC
Kevin Nichols is a financial advisor with NWM Advisors, LLC, holding a Series 63 designation and bringing 32 years of industry experience. He previously worked at Nichols Wealth Management, Inc. and LPL Financial, LLC. Outside of his advisory work, he owns and operates a land management business in San Luis Obispo, California. NWM Advisors, LLC provides investment advisory services to individuals, trusts, retirement plans, and business entities, managing approximately $329 million in client assets. The firm emphasizes strategic asset allocation and combines fundamental, technical, and cyclical analysis in portfolio construction while offering retirement plan consulting and 529 account management.
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