9AT: NORTHWEST FINANCIAL SERVICES INC

NORTHWEST FINANCIAL SERVICES INC

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)

Reported AUM

635M 544M 453M 363M 272M 181M 91M

2015 2016 2017 2018 2019 2020 2021 2022 2023 2024 2025 2026

Discretionary

Non-discretionary

Private Funds

No private funds

Employees

Form ADV-E Surprise Examination Reports

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

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).