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NORTHLAND ASSET MANAGEMENT
Legal name: NORTHLAND SECURITIES, INC.
CRD 40258File 801-96329
APPROVED
Retail clients
Disclosure events
Filing as of Sep 22, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$405.5M
Below cohort median (national)
Discretionary AUM
$387.3M
Non-discretionary $18.2M
Clients
875
1,192 accounts
Employees
22
Below cohort median in MN
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- CHRO
- Registration date
- May 26, 2015
- Principal office
- 150 SOUTH 5TH STREET, SUITE 3300, MINNEAPOLIS, MN, 55402
- Phone
- 800-851-2920
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $405.5M
- Discretionary AUM
- $387.3M
- Non-discretionary AUM
- $18.2M
- Discretionary accounts
- 1,180
- Non-discretionary accounts
- 12
- Total accounts
- 1,192
- AUM per client
- $463K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Charitable organizations | Fewer than 5 | $3.7M |
| High net worth individuals | 484 | $319.3M |
| Pension and profit sharing plans | Fewer than 5 | $3.2M |
| Individuals (other than high net worth individuals) | 391 | $79.2M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Other
- Fixed fees
- Hourly charges
- Other (described) — NEGOTIATED
- A percentage of assets under your management
Advisory activities
- Other advisory activities
- Financial planning services
- Selection of other advisers
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11- Q11C2
- Q11C4
- Q11C5
- Q11D1
- Q11D2
- Q11D4
- Q11E2
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 24 | 22 | decreased by2 |
| Apr 1, 2026 | Clients | 785 | 875 | increased by90 |
| Apr 1, 2026 | AUM | $359,889,042 | $405,485,183 | increased by$45,596,141 |
| Apr 1, 2026 | Accounts | 1,068 | 1,192 | increased by124 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 19 | 24 | increased by5 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 436 | 785 | increased by349 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $193,049,479 | $359,889,042 | increased by$166,839,563 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 581 | 1,068 | increased by487 |
| Apr 1, 2022 | Employees | 18 | 19 | increased by1 |
| Apr 1, 2022 | Clients | 370 | 436 | increased by66 |
| Apr 1, 2022 | AUM | $148,004,955 | $193,049,479 | increased by$45,044,524 |
| Apr 1, 2022 | Accounts | 477 | 581 | increased by104 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “NORTHLAND ASSET” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“NORTHLAND ASSET” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.