Nwam, Llc
SEC-registered
Insurance-Affiliated · Mid-sized ($1B–$10B)
CRD 147923
· SEC file 801-69483
· Mercer Island, WA
· www.linkedin.com
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ADV data as of Mar 31, 2026
- Regulatory AUM
- $4.1B
- Discretionary
- $2.9B
- Clients
- 2,776
- Avg AUM / client
- $1.5M
- Accounts
- 9,090
- Employees
- 62
AUM over time
$491M
$4.1B
Nov 2011
Dec 2025
Annual snapshots from Form ADV filings · as of Mar 31, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 1,926 | $924M | 22.4% |
| High net worth individuals | 832 | $3.1B | 75.9% |
| Corporations and other businesses | 8 | $46.7M | 1.13% |
| Other | 10 | $22.8M | 0.55% |
People (61)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Gregory Allen Headrick | Managing Member, Chief Compliance Officer | CFP | Jul 2008 (18y) | ≈ 56.25% – 100% via Nw Holdings Group, Inc. |
| Nelly Olinda Mubashi | Chief Executive Officer/Compliance Manager | Mar 2010 (16y) | Less than 5% | |
| Mahum Raza Prasad | Chief Operating Officer | Oct 2016 (10y) | Less than 5% | |
| William H Ziehl Jr. | Registered representative | Mar 2010 (16y) | ||
| Arthur Geronimo Nunes | Registered representative | Nov 2010 (16y) | ||
| Loren Irvin Deshon | Registered representative | Jan 2012 (15y) | ||
| John William Watt | Registered representative | Jun 2012 (14y) | ||
| Joseph Michael Schreiber | Registered representative | Jul 2012 (14y) | ||
| James Andrew Burton | Registered representative | CFP | Jan 2013 (14y) | |
| Jo Simmons Aldridge | Registered representative | Jul 2016 (10y) | ||
| Matthew David Stelmas | Registered representative | CFP | Jan 2017 (10y) | |
| Damian Seth Aldridge | Registered representative | CFP | Aug 2017 (9y) | |
| Suzette Marie Rothberg | Registered representative | CFP | Sep 2017 (9y) | |
| Brad Joseph Landry | Registered representative | Sep 2017 (9y) | ||
| Gabriella Sheffield | Registered representative | CFP | Feb 2018 (8y) | |
| Kevin Bonner Glynn | Registered representative | Apr 2018 (8y) | ||
| Teresa Lynn Starman | Registered representative | CFP | Jun 2018 (8y) | |
| Martin M Bender | Registered representative | CFP | Aug 2018 (8y) | |
| Leonard Adriaan Van Dorp | Registered representative | Mar 2019 (7y) | ||
| Antriksh Kandhari | Registered representative | CFA | Mar 2019 (7y) | |
| Sheila Mae Noble | Registered representative | Apr 2019 (7y) | ||
| Thomas David Whitehead | Registered representative | CFA | May 2019 (7y) | |
| Shelby Dawn Eckhardt | Registered representative | Oct 2019 (7y) | ||
| Candida Marie Casey | Registered representative | Dec 2019 (7y) | ||
| James Lester Gillis | Registered representative | CFP | Jun 2020 (6y) | |
| Mary Archer Moon | Registered representative | Oct 2020 (6y) | ||
| Noura Marie Alsheikh | Registered representative | Dec 2020 (6y) | ||
| Douglass Colley Mccrae | Registered representative | Feb 2021 (5y) | ||
| Jeffrey Michael Cygan | Registered representative | Jul 2021 (5y) | ||
| David Lindsey Schaen | Registered representative | Aug 2021 (5y) | ||
| William Mark Farrell | Registered representative | CFP | Aug 2021 (5y) | |
| Joseph Webster Peters | Registered representative | Nov 2021 (5y) | ||
| Matthew Quincy Loreen | Registered representative | Dec 2021 (5y) | ||
| Michael Scott Van Sant | Registered representative | CFP | May 2022 (4y) | |
| Kimberley S Evermon | Registered representative | Jun 2022 (4y) | ||
| Austin Brady Cunningham | Registered representative | CFP | Jul 2022 (4y) | |
| Geoffrey Charles Burke | Registered representative | Jan 2023 (4y) | ||
| Hannah Geiger | Registered representative | Aug 2023 (3y) | ||
| Samuel Cody Tiseth Olson | Registered representative | CFP | Oct 2023 (3y) | |
| Alice Lorraine Boytz | Registered representative | Oct 2023 (3y) | ||
| Jared Ryan Fruth | Registered representative | Dec 2023 (3y) | ||
| Shaylee Michaelis Edgington | Registered representative | Mar 2024 (2y) | ||
| Stacy Lyn Murray | Registered representative | CFP | Aug 2024 (2y) | |
| Robert Edwin Toomey | Registered representative | CFP CFA | Sep 2024 (2y) | |
| Simon Bortcosh | Registered representative | Nov 2024 (2y) | ||
| Joie Hurtado Wyatt | Registered representative | Feb 2025 (1y) | ||
| Alyssa Yesenia Miller | Registered representative | May 2025 (1y) | ||
| Kevion Lamar Latham | Registered representative | CFP | May 2025 (1y) | |
| Haleigh Paige Thompson | Registered representative | Aug 2025 (1y) | ||
| Jesse Freeman Doran | Registered representative | Oct 2025 (1y) | ||
| John Lee | Registered representative | CFP | Nov 2025 (1y) | |
| Hunter Charles Klein | Registered representative | Nov 2025 (1y) | ||
| Julie Johnson Mcveigh | Registered representative | CFA | Feb 2026 (0y) | |
| Jordan Michael Lawrence | Registered representative | CFA | Mar 2026 (0y) | |
| Maretta Elizabeth Menz | Registered representative | CFA | Mar 2026 (0y) | |
| Daniel Lynn Vandergriff | Registered representative | Apr 2026 (0y) | ||
| Gretchen Prskalo | Registered representative | Apr 2026 (0y) | ||
| Ankit Vats | Registered representative | Apr 2026 (0y) | ||
| Louissa Effie Powers | Registered representative | May 2026 (0y) | ||
| Brittany Michelle Schuler | Registered representative | May 2026 (0y) | ||
| Todd Joseph Matia | Registered representative | CFP | Jun 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Nw Holdings Group, Inc. | Sole Member | Jun 2022 | A | 75% or more |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Gregory Allen Headrick: 75% – 100% of Nw Holdings Group, Inc. × 75% – 100% direct ≈ 56.25% – 100% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/31/2026 | 1.09 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
- • Educational seminars/workshops
- • Other services
Custody
Reported custodians
- National Financial Services (Fidelity) $2.5B (61% of AUM) Mar 2026
- Charles Schwab & Co. $1.5B (35% of AUM) Mar 2026
- Fidelity Institutional Wealth Services $425M (32% of AUM) Mar 2018
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 31, 2026.
View current Form ADV (SEC/IAPD) ↗