Hugh H. Harvey

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CRD#: 7388658

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Hugh Hamilton Harvey was a registered financial professional .

Hugh is a previously registered financial professional and started their career in finance in 2022. Hugh had worked at 2 firms and has passed the Series 63, Series 65 and SIE exams.

Question & Answer

Are you a "fiduciary"?

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.

Kitces.com, LLC. Kitces.com LLC is not an investment-related business. Kitces.com LLC provides business and professional development services for financial advisors and consumers. The business address is 11110 Sunset Hills Road, Suite 2231 Reston, VA 20190. My position is a Course Reviewer, and I am a fully remote independent contractor. I started at Kitces.com in September 2022 and the current contract expires in December 2022. I am contracted to provide feedback on outlines, content, design, and knowledge-check questions for courses targeted to financial advisors for personal development and continuing education credits. The contract is to provide this service for 3-4 hours/month. The work does not occur during securities trading hours.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 1, 2024 - September 24, 2024

NORTHWEST ASSET MANAGEMENT

RIA

CRD#: 147923

Edina, MN

Past

February 24, 2022 - July 1, 2024

CAHILL FINANCIAL ADVISORS, INC.

RIA

CRD#: 109890

EDINA, MN

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.

Visual representation of state registrations

This advisor is not registered in any state.

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

Series 63

Date: 8/27/2021

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 4/5/2021

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 7/21/2021

Securities Industry Essentials 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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Firm Stability Insights

Hugh H. Harvey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NORTHWEST ASSET MANAGEMENT

CAHILL FINANCIAL ADVISORS, INC.

Primary Firm SEC Registration

NORTHWEST ASSET MANAGEMENT

State Registrations and Notice Filings

Exams

Series 63

Date: 8/27/2021

Series 65

Date: 4/5/2021

SIE

Date: 7/21/2021

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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