Broker Check

Business Continuity Planning

Northwest Investment Advisors, Inc. (NWIA) has developed a Business Continuity Plan on how we will respond to events that significantly disrupt our business.   Since the timing and impact of disasters and disruptions is unpredictable, we will have to be flexible in responding to actual events as they occur.   With that in mind, we are providing you with this information on our business continuity plan.

Contacting Us  If after a significant business disruption you cannot contact us as you usually do at (509)252-4140, you should call our alternative number (509)842-6375, go to our web site at or email us at our alternative email of    If you cannot access us through these means, you should contact the company that facilitates your account.   If assets are held at our clearing firm, Sterne, Agee & Leach, Inc. (SAL), call (800)778-6257 or go to for instructions on how they may help you.   If you have accounts held directly at a mutual fund company, insurance company, or other financial institution, please call the number or go to the web address that should be printed on your statements that you receive periodically from that company.

Our Business Continuity Plan  We plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm's books and records, and allowing our customers to transact business.   In short, our business continuity plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption.  

Our business continuity plan addresses: data back up and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical supplier, contractor, bank and counter-party impact; regulatory reporting; and assuring our customers prompt access to their funds and securities if we are unable to continue our business.

Our clearing firm, SAL, as well as the mutual fund companies, insurance companies, and other financial institutions we are contracted with, back up important records in a geographically separate area. While every emergency situation poses unique problems based on external factors, such as time of day and the severity of the disruption, we have been advised by these companies that their objective is to restore its own operations and be able to complete existing transactions and accept new transactions and payments within 24 hours, however, your orders and requests for funds and securities could be delayed during this period. 

Varying Disruptions  Significant business disruptions can vary in their scope, such as only our firm, a single building housing our firm, the business district where our firm is located, the city where we are located, or the whole region.   Within each of these areas, the severity of the disruption can also vary from minimal to severe.   In a disruption to only our firm or a building housing our firm, we will transfer our operations to a local site when needed and expect to recover and resume business within 1 hour.   In a disruption affecting our business district, city, or region, we will transfer our operations to a site outside of the affected area, and recover and resume business within 24 hours.   In either situation, we plan to continue   business, transfer operations to our clearing firm if necessary, and notify you through our web site or our customer emergency number, (509)842-6375, how to contact us.   If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our customer's prompt access to their funds and securities.

For more information  If you have questions about our business continuity planning, you can contact us at (509)252-4140 or