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Adam Shipley

Northwoods Financial Partners LLC
10 Years of Experience
Hermosa Beach, CA
2 DisclosuresBrokerSells Insurance
View SEC Summary
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Adam Shipley is a registered investment advisor at Northwoods Financial Partners LLC, based in Hermosa Beach, CA, with 10 years of industry experience. Adam is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Estate Planning, Financial Planning & Coaching, High Net Worth, and 4 more. Their firm serves 4 clients with $710K in assets under management.

Northwoods Financial Partners LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
2 advisors
Number of Clients
4 clients
Average Client Portfolio
$176K average
Assets Under Management
$705K

Fee Structure

Minimum Investment:None
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Up to $3.0M1.25%
$3.0M - $7.0M1.00%
$7M+0.75%

Flat rate/breakpoint fee schedule where the entire portfolio is charged the same asset management fee based on the total assets under management. Fees are negotiable.

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

Location

2447 Pacific Coast Highway, 2nd Floor, Hermosa Beach, CA, 90254

Get directions

History

Regulatory History (2)
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
June 2026
Pending
Customer Dispute
October 2025
Pending
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Adam holds a fixed insurance license in California and occasionally advises clients on fixed term life insurance and annuities since 2015. He is also a registered representative with Emerson Equity LLC, spending about a quarter of his time on sales and service of brokerage products, and a managing partner at Northwoods Financial Partners, LLC, dedicating about half his time to financial planning and wealth management.

Employment History
Current Registrations
Northwoods Financial Partners LLC
October 2024 - Present · 2 yrs
Emerson Equity LLCBroker
July 2021 - Present · 5 yrs 3 mos
Previous Registrations
Emerson Equity LLC
July 2021 - October 2024 · 3 yrs 3 mos
National Asset Management, INC.
March 2016 - July 2021 · 5 yrs 4 mos
National Securities CorporationBroker
February 2016 - July 2021 · 5 yrs 5 mos
Select Planning Group, INC.
April 2015 - July 2015 · 3 mos
State Registrations14 states
AZCACOGAIDILKYNCNHNVNYORTXWA
AdvisorBrokerBoth

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.
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