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NORTHLAND SECURITIES, INC.

dba NORTHLAND ASSET MANAGEMENT · CRD 40258 · Registered Investment Adviser

Regulatory disclosure

NORTHLAND SECURITIES, INC. is a Registered Investment Adviser headquartered in MINNEAPOLIS, MN. The firm reports $405,485,183 in regulatory assets under management across 1,192 accounts. It reports 7 Form ADV Item 11 disciplinary disclosure(s) (Regulatory).

Regulatory assets under management

Discretionary$387,310,427
Non-discretionary$18,174,756
Total RAUM$405,485,183
Accounts1,192

Disciplinary history (Form ADV Item 11)

This adviser answered "yes" to 7 Item 11 disclosure question(s):

CategoryReported
Criminal (11A / 11B)—
Regulatory (11C–11F)Yes
Civil / Other (11G / 11H)—

Item 11 captures firm-level Y/N disclosures only. For the narrative Disciplinary Reporting Pages, see the full Form ADV PDF on SEC IAPD.

About this data

Form ADV is the uniform registration form every investment adviser files with the U.S. Securities and Exchange Commission (and state regulators). Part 1A captures the firm's identity, assets under management, client base, custody arrangements, and disciplinary disclosures. This page mirrors the SEC's monthly firm-roster export with citations to the Investment Adviser Public Disclosure (IAPD) system, where the full brochure (Part 2) and disciplinary detail are available.

References

  1. U.S. Securities and Exchange Commission. Investment Adviser Public Disclosure — CRD 40258. adviserinfo.sec.gov/firm/summary/40258.
  2. SEC Form ADV firm roster (FOIA monthly export). sec.gov Form ADV data.

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