TrueAdvisor
TrueAdvisor
SW
CFP · ChFC
SW
CFP · ChFC

Stephen Westlake

Northrock Partners, LLC
40 Years of Experience
Carson City, NV
9 Disclosures
View SEC Summary
View SEC Summary

Stephen Westlake is a CFP, ChFC-designated registered investment advisor at Northrock Partners, LLC, based in Carson City, NV, with 40 years of industry experience. Stephen operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Alternative Investments, Business Owners, Charitable Giving, Corporate Executives, and 9 more. Their firm serves 4,811 clients with $12B in assets under management.

Northrock Partners, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
94 advisors
Number of Clients
4,811 clients
Average Client Portfolio
$2.5M average
Assets Under Management
$12.2B

Fee Structure

Minimum Investment:None
Planning is included in investment management
Minimum Annual Fee:$5,000
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any1.50%

Annual fee ranges between 0.50% and 1.50% based on the size, nature, and complexity of the relationship. An additional 0.25% account-level fee applies to assets held at Schwab and Fidelity for account servicing and operational costs. There is a minimum annual fee of $5,000.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

Carson City, NV

Get directions

History

Regulatory History (9)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
October 2025
Denied
Customer Dispute
September 2014
Denied
Customer Dispute
March 2010
Settled
Customer Dispute
November 2006
Settled
Customer Dispute
January 2003
Denied
Customer Dispute
December 2001
Denied
Customer Dispute
May 2001
Denied
Customer Dispute
April 2001
Denied
Criminal
December 1978
Final Disposition
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Stephen has multiple business activities, including business ownership since 2020, serving as an executive board member for Westlake since 2014, and outside employment with SCB Ventures, LLC since 2020. These activities each take about 10-20% of Stephen's time.

Employment History
Current Registrations
Northrock Partners, LLC
July 2025 - Present · 1 yr 3 mos
Previous Registrations
Ids Life Insurance CompanyBroker
September 2000 - July 2006 · 5 yrs 10 mos
Ameriprise Financial Services, LLC
December 1997 - July 2025 · 27 yrs 7 mos
Ameriprise Financial Services, LLCBroker
November 1985 - July 2025 · 39 yrs 8 mos
State Registrations2 states
CANV
Advisor

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
More Advisors
More financial advisors in Carson City, NV →All financial advisors in Nevada →