9AT: NORTHWEST FINANCIAL SERVICES INC

Adviser Profile

As of Date	03/18/2026
Registration	SEC, Approved, 12/29/1992
ADV Location	INDIANAPOLIS, IN, United States
Contact Info	317 xxxxxxx
Websites

AUM^*	634,899,243 32%
of that, discretionary	634,899,243 32%
Number of Employees	11 22%
of those in investment advisory functions	9 29%
Private Fund GAV^*	0
Avg Account Size	1,684,083 31%
% High Net Worth	44.83% -5%
SMA’s	Yes
Private Funds	0

Adviser Type

- Large advisory firm

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals

Advisory Activities

- Financial planning services
- Portfolio management for individuals and/or small businesses

Compensation Arrangments

- A percentage of assets under your management
- Fixed fees (other than subscription fees)

Accounting Firm Name	Filing Date	Form ADV-E
Accounting Firm Name LALLY & CO., LLC.	Filing Date12/18/2025	Form ADV-E View Report
Accounting Firm Name LALLY & CO., LLC	Filing Date01/15/2025	Form ADV-E View Report
Accounting Firm Name LALLY & CO., LLC	Filing Date12/28/2023	Form ADV-E View Report

Adviser	Hedge Fund	Liquidity Fund	Private Equity Fund	Real Estate Fund	Securitized Asset Fund	Venture Capital Fund	Other Fund	Total Private Fund GAV	AUM	#Funds
Adviser TRAVERSO CHAMBERS PRIVATE WEALTH MANAGEMENT, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM553.1m	#Funds-
Adviser EXCHANGE CAPITAL MANAGEMENT INC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM832.8m	#Funds-
Adviser LEGACY WEALTH	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM546.0m	#Funds-
Adviser TIMBERCHASE FINANCIAL, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM280.2m	#Funds-
Adviser DISCIPLINED EQUITY MANAGEMENT, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM521.0m	#Funds-
Adviser ALPHA CAPITAL MANAGEMENT	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM871.4m	#Funds-
Adviser SAFE HARBOR ASSET MANAGEMENT, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM26.8m	#Funds-
Adviser THE WELCH GROUP, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM3.7b	#Funds-
Adviser DELTA ASSET MANAGEMENT, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM1.5b	#Funds-
Adviser GREAT NORTHERN ASSET MANAGEMENT, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM222.3m	#Funds-

Brochure Summary

Overview

Form ADV Part 2A, Item 4 NWFS incorporated in the state of Indiana in October of 1990. Matthew C. Yeiter and Thomas Gross are the principal owners. Typically, we will gather information from the client through documents, interviews, and other third parties (with the client’s permission). We use this information along with the stated goals of the client to create a financial plan. Depending on the client’s needs, the plan considers the following: Financial Planning Stock Option Planning Insurance Analysis Investment Advice Retirement Planning Estate Planning Tax Planning Education Funding Charitable Giving Strategies If the client wants us to implement the plan, we will provide ongoing investment supervisory services and continue to offer financial advice. Although NWFS may offer advice from time to time on

other types of investments as part of the financial plan, our primary strategy is investing in mutual funds. We also offer tax preparation services as an additional service for a separate fee. The value and accuracy of our financial plan depends on the data provided by the client and is specific to each client. Based on information from the financial plan and other assessments of the client’s risk tolerance, an investment strategy is created. The client may impose restrictions on investing in certain securities or types of securities; we ask that this be put in writing. At this time we do not participate in wrap fee programs. As of December 31, 2023, we manage $486,821,348 of assets. All assets are managed on a discretionary basis (which means we do not have to contact the client to make investment changes).

NORTHWEST FINANCIAL SERVICES INC

NORTHWEST FINANCIAL SERVICES INC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

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Brochure Summary

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NORTHWEST FINANCIAL SERVICES INC NORTHWEST FINANCIAL SERVICES INC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Form ADV-E Surprise Examination Reports

Similar advisers

Brochure Summary

Overview

NORTHWEST FINANCIAL SERVICES INC

NORTHWEST FINANCIAL SERVICES INC