Gabriella Sheffield

NORTHWEST ASSET MANAGEMENT

Huntington Beach, CA

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CRD#: 5409494

Professional summary

Gabriella Sheffield, AIF®, CFP® is a registered financial advisor currently at NORTHWEST ASSET MANAGEMENT located in Huntington Beach, California.

Gabriella is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Gabriella has worked at 6 firms and has passed the Series 66 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 Gabriella Sheffield'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®

AIF^®

Accredited Investment Fiduciary

CFP^®

CRD#: 8174

SAN DIEGO, CA

Past

October 23, 2009 - September 4, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

LA JOLLA, CA

Past

October 23, 2009 - September 4, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

LA JOLLA, CA

Past

January 22, 2008 - October 23, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

LA JOLLA, CA

Past

November 21, 2007 - October 23, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

LA JOLLA, CA

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

Arizona
(3/10/2023)

IAR

California
(2/26/2018)

IAR

New Hampshire
(5/1/2019)

IAR

Texas
(10/16/2018)

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 66

Date: 1/18/2008

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 11/19/2007

General Securities Representative Examination

Current Firm

NORTHWEST ASSET MANAGEMENT

CRD#: 147923 / SEC#: 801-69483

RIA

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

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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.

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Gabriella Sheffield

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gabriella Sheffield's CRS (Customer Relationship Summary).

Certified licenses

Experience

ADVANCED PRACTICE ADVISORS, LLC

GUPTA WEALTH MANAGEMENT, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

NORTHWEST ASSET MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 1/18/2008

Series 7

Date: 11/19/2007

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

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