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Gabriella Sheffield

Gabriella Sheffield

NORTHWEST ASSET MANAGEMENT
Huntington Beach, CA
Some features on this profile are disabled
CRD#: 5409494
Gabriella Sheffield

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®

Certified Financial Planner

Start date: 2012

Experience

Current

February 26, 2018 - Present

NORTHWEST ASSET MANAGEMENT

RIA
CRD#: 147923
Huntington Beach, CA
Past

May 19, 2016 - June 25, 2018

ADVANCED PRACTICE ADVISORS, LLC

RIA
CRD#: 154084
LA QUINTA, CA
Past

October 31, 2014 - May 19, 2016

GUPTA WEALTH MANAGEMENT, LLC

RIA
CRD#: 161721
SAN DIEGO, CA
Past

August 24, 2012 - September 29, 2014

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
SAN DIEGO, CA
Past

August 24, 2012 - September 29, 2014

UBS FINANCIAL SERVICES INC.

BD
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

BD
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.

BD
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".
NA
NORTHWEST ASSET MANAGEMENT
NORTHWEST ASSET MANAGEMENT | RIA INNOVATIONS | NWAM, LLC DBA NORTHWEST ASSET MANAGEMENT | NWAM, LLC | NW ASSET, LLC | NORTHWEST ASSET MANAGEMENT, LLC

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)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/18/2008
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 11/19/2007
General Securities Representative Examination

Current Firm

NA
NORTHWEST ASSET MANAGEMENT
NORTHWEST ASSET MANAGEMENT | RIA INNOVATIONS | NWAM, LLC DBA NORTHWEST ASSET MANAGEMENT | NWAM, LLC | NW ASSET, LLC | NORTHWEST ASSET MANAGEMENT, LLC

CRD#: 147923 / SEC#: 801-69483

RIA
Registered Investment Advisory firm - (8/20/2008 Approved)
PREMIUM
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Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
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
54

SEC notice filing (40 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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 Accounts8,844
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.

Company Information

NORTHWEST ASSET MANAGEMENT

CRD#: 147923Huntington Beach, CA

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