Northern Lights Capital Group, LLC (Tacoma)

Name: Northern Lights Capital Group, LLC
Address: 2323 North 30 Th Street, Tacoma, WA, 98403
Telephone: 253-238-0417

Northern Lights Capital Group, LLC is a large advisory firm based in Tacoma. It manages $299.12 million of regulatory assets for 1 client accounts. It has been registered with the SEC as an adviser since 2011 and has operated in the jurisdictions of Colorado and Washington.

Northern Lights Capital Group provides portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Northern Lights Capital Group: assets under management

The assets under management (AUM) of Northern Lights Capital Group, LLC is $299.12 million. The firm's AUM has grown by 520% since the beginning of its operation, and $299.12 million of the total AUM is attributable to clients outside of the United States.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Northern Lights Capital Group, LLC for their services and products based on performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Northern Lights Capital Group serves?

The only and largest group of clients of Northern Lights Capital Group is pooled investment vehicles with 1 clients and $299.12 million of assets under management. Among the 7 most similar advisory firms, Northern Lights Capital Group has the 2nd highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $299.12 million for 1 clients. 100% of the firm’s clients are foreign persons or businesses.

Northern Lights Capital Group also advises several private funds. Namely, one private equity fund.

Careers at Northern Lights Capital Group, LLC

The company employs 14 people that are either part- or full-time employees. 14 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
John Colquhoun Swift	Managing director	1 May 2010	Other	3044123
Timothy Jacob Carver	Managing director	1 May 2010	Other	2638120
Paul Richard Greenwood	Managing director	1 May 2010	Other	4982347
Jack Swift	Managing director	1 May 2010	Other	3044123
John Witherspoon Zimmerman	Managing director	1 May 2010	Other	4855085
Andrew Laird Turner	Chairman; managing member	1 May 2010	Other	5249162
Christopher Fosse	Chief compliance officer, cfo	1 May 2010	Other	5924725
John David Griswold	Chief compliance officer/general counsel	1 Mar 2013	Other	2022655
Trent Erickson	Chief financial officer	1 Nov 2013	Other	6315273
Llc Northern Lights Midco	Shareholder	1 Jul 2014	75% - 100%	47-1407415
Trent Erickson	Managing director	1 Mar 2016	Other	6315273

Indirect Owners

The SEC currently registers 10 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Laird Norton Company	Member	1 Aug 2006	50% - 75%	91-2027437
Laird Norton Company	Shareholder	1 Dec 2007	75% - 100%	91-2027437
Inc. White Pine	Member	1 Dec 2007	25% - 50%	26-1630532
Llc Lnc Investment Co.	Member	1 May 2010	25% - 50%	20-5433626
Llc Northern Lights Capital Partners	Shareholder / owner	1 May 2010	75% - 100%	20-5650492
Aurora Investment Management Pty Limited	Trustee of aurora trust	1 Nov 2014	Other	foreign
Aurora Trust	Shareholder	1 Nov 2014	75% - 100%	foreign
Llc Northern Lights Capital Partners	Unitholder	1 Nov 2014	25% - 50%	20-5650492
Treasury Group Limited	Unitholder	1 Nov 2014	50% - 75%	foreign
Pacific Current Group Limited	Unitholder	1 Nov 2014	50% - 75%	foreign

Based in Tacoma

The principal office where Northern Lights Capital Group, LLC performs its advisory services is located at 2323 North 30 Th Street, Tacoma, WA 98403, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 253-238-0417. The normal business hours are 8:00 am to 5:00 pm on Monday - Friday. You can find more information about the New York firm at nlcg.com.