Alice L. Boytz

NORTHWEST ASSET MANAGEMENT

Mercer Island, WA 98040

Some features on this profile are disabled

CRD#: 3084352

Professional summary

Alice Lorraine Boytz is a registered financial advisor currently at NORTHWEST ASSET MANAGEMENT located in Mercer Island, Washington.

Alice is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Alice has worked at 4 firms and has passed the Series 65, Series 63, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alice Lorraine Boytz's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

October 25, 2023 - Present

NORTHWEST ASSET MANAGEMENT

Office #1: 2835 82nd Avenue Se Ste 100, Mercer Island, WA 98040

RIA

CRD#: 147923

Mercer Island, WA

Past

March 1, 2010 - March 31, 2016

NORTHWEST ASSET MANAGEMENT

RIA

CRD#: 147923

MERCER ISLAND, WA

Past

August 21, 2008 - September 7, 2012

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

MERCER ISLAND, WA

Past

August 12, 2006 - August 29, 2008

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

SEATTLE, WA

Past

August 12, 2006 - August 29, 2008

UBS FINANCIAL SERVICES INC.

CRD#: 8174

SEATTLE, WA

Past

February 2, 1999 - August 12, 2006

PIPER SANDLER & CO.

RIA

CRD#: 665

SEATTLE, WA

Past

July 31, 1998 - August 12, 2006

PIPER SANDLER & CO.

CRD#: 665

SEATTLE, WA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

NORTHWEST ASSET MANAGEMENT

CRD#: 147923 / SEC#: 801-69483

RIA

Registered Investment Advisory firm - (8/20/2008 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Washington
(10/25/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/25/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/10/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 10/9/2003

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 7/30/1998

General Securities Representative Examination

Current Firm

NORTHWEST ASSET MANAGEMENT

CRD#: 147923 / SEC#: 801-69483

RIA

Registered Investment Advisory firm - (8/20/2008 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

2835 82nd Avenue Se Ste 100, Mercer Island, WA 98040

Mailing Address

Phone number

(206) 838-3680

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (40 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A FIRM BROCHURE (147923) (3/31/2025)

ADV PART 2 NWASSET WRAP (147923) (3/31/2025)

Regulatory assets under management

Total Number of Accounts	8,844
AUM (Assets Under Management)	$ 3,608,262,509

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Dale Miller

MORGAN STANLEY

IAR

Moscow, ID

Gregg Quinn

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Redmond, WA

Alyssa Jarman

OSAIC WEALTH, INC.

IAR

Bellevue, WA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Alice L. Boytz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alice Lorraine Boytz's CRS (Customer Relationship Summary).

Certified licenses

Experience

NORTHWEST ASSET MANAGEMENT

PURSHE KAPLAN STERLING INVESTMENTS

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

PIPER SANDLER & CO.

PIPER SANDLER & CO.

Primary Firm SEC Registration

NORTHWEST ASSET MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 10/25/2023

Series 63

Date: 8/10/1998

Series 31

Date: 10/9/2003

Series 7

Date: 7/30/1998

Current Firm

NORTHWEST ASSET MANAGEMENT

Contact information

SEC notice filing (40 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NORTHWEST ASSET MANAGEMENT

TRUST BUT VERIFY

Similar Advisors