SourcingSourcing

NORTHLAND SECURITIES, INC.

C20
CRD 40258·SEC 801-96329·MINNEAPOLIS, MN
AUM
$405.5M
$100M-$500M
Est. Revenue
$4.1M
@ 1% on AUM
Est. EBITDA
$1.2M
@ 30% margin
Est. Deal Value
$9.7M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
NORTHLAND SECURITIES, INC.
CRD
40258
SEC file #
801-96329
EIN
—
DBA names
Northland Asset Management

Economics

AUM
$405.5M
AUM band
$100M-$500M
AUM trajectory
'20'26
$97.5M → $405.5M▲ +316%
Client mix
Individuals High Net Worth484
Individuals Other391

Operations

Employees (total)
22
Advisory staff (per ADV)
22
Advisory staff (5-yr trend)
'20'26
18 advisors → 22 advisors▲ +22%
Primary office
MINNEAPOLIS MN
Branches
—

Custodian & Brokerage

Primary custodian
Pershinglow confidence
Services offered
Financial planningPortfolio mgmt — individualsSelection of other advisersOther Advisory Services
Fee basis
% of AUMHourly chargesFixed feesOther Compensation

Filings

Latest ADV filing
03/27/2026
ADV-W filed at
—
Website
northlandsecurities.com

Compliance

Disclosures (firm)
7
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
NORTHLAND CAPITAL HOLDINGS, INC.
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
8
Control Persons
NORTHLAND CAPITAL HOLDINGS, INC.
ALDEN, DUSTIN RICHARD
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
NORTHLANDSECURITIES.COM
Rdap Domain Creation Date
2002-09-11T15:27:23Z
Rdap Firm Age Years
24
Rdap Firm Age Band
20+y
Rdap Registrar
CSC Corporate Domains, Inc.

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0001137204
Edgar Registered
Yes
Edgar Filing Count
548
Edgar First Filing Date
2001-03-28
Edgar Last Filing Date
2018-08-28
Edgar Form D Count
10
Edgar Form D Offerings
2013-10-102013-10-10 · 0001137638-13-000010
2013-10-102013-10-10 · 0001137638-13-000009
Edgar Xbrl Assets Latest
Value Usd67,189,548
Fiscal Year End2014-02-28
Edgar Xbrl Revenue Latest
Value Usd26,690,718
Fiscal Year End2014-02-28
ConceptSalesRevenueNet
Edgar Sic Description
Communications Equipment, NEC
Edgar Former Names
HIPCRICKET, INC.
Augme Technologies, Inc.

Compliance & brand

Firm Registration Status
active

All other collected signals (16)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
50
Bc Firm Active IA Count
5
Bc Firm IAR Count
50
Custodian Candidates
Full
Pershing4
E*trade4
Edgar Addresses
Mailing
401 CONGRESS AVENUESUITE 2650AUSTIN, TX 78701
Business
401 CONGRESS AVENUESUITE 2650AUSTIN, TX 78701
Edgar Recent Filings
42018-08-28 · 0000899243-18-023375
42018-08-23 · 0000899243-18-023167
Edgar Sic
3669
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2028-09-11T15:28:18Z
Rdap Domain Last Changed
2025-07-29T05:46:04Z
Rdap Nameservers
Ns1.f5clouddns.comNs2.f5clouddns.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer Prohibited
Trust Company Affiliate
No

People (55)

55
ALDEN, DUSTIN RICHARD
IAR · Executive Officer · 2.5%
6131554
NITZSCHE, RANDY GENE
IAR · Executive Officer · 2.5%
1558954
TIFFANY DAWN HENN
Executive Officer · 2.5%
5515577
TRACI LEE SPANIER
Executive Officer · 2.5%
2897659
MANDY MARIE TEIGLAND
Executive Officer · 2.5%
4870219
Scott David Carrithers
Executive Officer · 2.5%
6944152
Christopher Robert Ruggiero
Executive Officer · 2.5%
4197520
KEVIN JAMES LEGATT
IAR
4187257
ANGELA RAE LUKINS
IAR
4200768
Shawn Robert Paulson
IAR
6991471
Garrett Gregory Marr
IAR
7428396
Steven P Schnering
IAR
7428408
TAMMY ANN OMDAL
IAR
5969234
NICHOLAS JOHN NOVAK
IAR
5862406
LAUREN SEIDEL
IAR
6275989
TRENT WARD WELLS
IAR
6383563
ASHLEY ELIZABETH CONNOLLY
IAR
6251189
THOMAS GERARD PFANNENSTIEL
IAR
4625422
Casey J Poole
IAR
7428423
STEVEN PAUL ORTH
IAR
2367518
PETER FULLER GLANVILLE
IAR
1846062
LORIE ANN ROBINSON TICE
IAR
1847722
DAVID ALAN BERGUM
IAR
2035048
CHRISTINE ANN BORIS
IAR
2917131
BRIAN GERALD GIFFORD
IAR
2700165
JESSICA LYNN GREEN
IAR
6430925
ROBERT LOUIS JOHNSON
IAR
4133048
TARI LYNN RODE
IAR
1106404
CHRISTOPHER GEORGE LYON
IAR
1257887
ANN MARIE WALKER
IAR
2159234
MICHAEL JAMES LATIMORE
IAR
2772930
GEORGE DAVID EILERTSON
IAR
2936801
NEHAL SUSHIL CHOKSHI
IAR
5246178
Alicia Michelle Watson
IAR
7088091
Logan T Hennen
IAR
7557473
Jennifer Lynne Sally-Ann Broden
IAR
7207053
WILLIAM BEAVERSON O'CONNOR
IAR
2540044
ANN MARIE CARDA
IAR
4297901
RANDY JON LINDRUD
IAR
1294955
TIMOTHY PAUL SAVAGEAUX
IAR
2489579
ERIC EDWARD SODERBERG
IAR
2438570
STEVEN THOMAS DENAULT
IAR
4005908
CHRISTOPHER JAMES YARITZ
IAR
1739933
MICHAEL JESSE BALDWIN
IAR
4104326
Stephanie Ripp
IAR
4014047
Derek Peter LaSota
IAR
7386333
Michael Pochucha
IAR
6559654
JEFFREY FRANK CHARLESWORTH
IAR
1808090
shannon nicole clark
IAR
3223249
TROY DANIEL BERNBERG
IAR
4563290
DAVID LEO FARRIS
IAR
2258450
JOHN MARK SCHUMACHER
IAR
1520203
JAMES LOWELL KUBIK
IAR
276159
Brian G Schaff
IAR
6433224
JUSTIN DAMON
IAR
7785860