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NORTHLAND ASSET MANAGEMENT

MINNEAPOLIS, MN · CRD 40258 · IAPD ↗ · northlandsecurities.com · 800-851-2920

$405.5MRegulatory AUM
22Advisory reps
22Employees
101Clients
1-10Planning clients
0Private funds
21States
15Disclosures
wealthSegment
ApprovedSEC status

Filing changes

45
April 2026 — NORTHLAND ASSET MANAGEMENT notice-filed in VA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
53
April 2026 — NORTHLAND ASSET MANAGEMENT added office(s): 1 -> 2 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
45
December 2025 — NORTHLAND ASSET MANAGEMENT notice-filed in KS.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
47
April 2025 — NORTHLAND ASSET MANAGEMENT notice-filed in NM, OH.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
68
April 2025 — NORTHLAND ASSET MANAGEMENT reported RAUM up 52% ($236.7M -> $359.9M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
73
April 2025 — NORTHLAND ASSET MANAGEMENT grew from 19 to 24 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
42
August 2024 — NORTHLAND ASSET MANAGEMENT notice-filed in VT.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.