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Investment Adviser Firm Summary
NORTHLAND ASSET MANAGEMENT ( CRD # 40258/SEC#:801-96329,8-48994 )
N LAND INSURANCE SERVICES, ORACLE INVESTMENTS, INC., NORTHLAND SECURITIES, INC., NORTHLAND SECURITIES, NORTHLAND ASSET MANAGEMENT
View latest Form ADV filedPart 2 BrochuresPart 3 Relationship Summary

The adviser's REGISTRATION status is listed below.

This adviser is also a brokerage firm
REGISTRATION STATUS
SEC / JURISDICTION
REGISTRATION STATUS
EFFECTIVE DATE
SECApproved5/26/2015
IllinoisTerminated5/26/2015
IowaTerminated6/30/2015
MinnesotaTerminated5/26/2015
TexasTerminated5/26/2015
WisconsinTerminated5/26/2015
NOTICE FILINGS

Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.

JURISDICTIONEFFECTIVE DATE
Arizona3/28/2018
California11/27/2015
Colorado12/15/2022
Florida6/19/2015
Georgia4/14/2022
Illinois5/26/2015
Iowa5/26/2015
Minnesota5/26/2015
Missouri6/19/2015
New Mexico3/28/2025
New York7/14/2023
North Carolina6/19/2015
Ohio3/28/2025
South Dakota10/5/2018
Tennessee6/19/2015
Texas5/26/2015
Vermont7/19/2024
Washington1/18/2019
Wisconsin5/26/2015
EXEMPT REPORTING ADVISERS

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

Not Currently an Exempt Reporting Adviser
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.