PRAIRIEWOOD WEALTH MANAGEMENT

PRAIRIEWOOD CAPITAL, LLC Legal Name

Adviser information for PRAIRIEWOOD WEALTH MANAGEMENT last updated from Form ADV on January 24th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization Limited Liability Company
Fiscal Year End DECEMBER
Legal Location North Dakota, United States

Employees

Total Number of Employees 3
Investment Advisory/Research 3
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 3
Licensed Agents of an Insurance Company 0
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 742 $216.8M
Non-Discretionary 0 $0
Total 742 $216.8M

Clients

Type Number RAUM
Individuals 99 $46.0M
HNW Individuals 61 $161.6M
Banking or thrift institutions 0 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 0 $0
Pension and profit sharing plans 0 $0
Charitable organizations 6 $9.3M
State or municipal gov entities 0 $0
Other investment advisers 0 $0
Insurance companies 0 $0
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses 0 $0
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 1
No. of Financial Planning Clients 101-250

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businesses
Compensation % of AUMHourly chargesFixed fees

Identifiers

SEC RIA File Number 801-118221
SEC ERA File Number 801-118221
SEC CIK Numbers 1839695
SEC CRD Numbers 149007
Legal Entity Identifier None

Principal Office

3981 4TH ST. E
WEST FARGO
ND
United States
Monday - Friday, 8 AM - 5 PM
Tel: 701-234-0521, Fax: 701-205-4510

Chief Compliance Officer

NATHAN M ANDERSON
FINANCIAL ADVISOR
3981 4TH ST E
WEST FARGO
ND
United States
Tel: 701-234-0521
Fax: 701-205-4510
(Full email address available in API data)

Regulatory Contact

GARY CLAYTON
COMPLIANCE CONSULTANT
PO BOX 10254
KNOXVILLE
TN
United States
Tel: 865-770-1024
(Full email address available in API data)

Industry Affiliates

None

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
NELSON, STEVEN, MICHAEL Individual MANAGING PARTNER 01/2008 < 5%
Anderson, Nathan, Mark Individual CHIEF COMPLIANCE OFFICER 01/2020 < 5%
PRAIRIEWOOD FINANCIAL GROUP, LLC Domestic Entity HOLDING COMPANY 08/2017 50-75%
NELSON, STEVEN, MICHAEL Individual PRAIRIEWOOD FINANCIAL GROUP, LLC MANAGING PARTNER 08/2017 > 75%
Anderson, Nathan, Mark Individual NMA HOLDINGS LLC MANAGING PARTNER 03/2022 > 75%
NMA HOLDINGS LLC Domestic Entity HOLDING COMPANY 03/2022 25-50%

No. Employees, Historic

10502020202120222023202420252 on 2/12/20202 on 6/24/20202 on 1/29/20212 on 1/29/20212 on 2/15/20222 on 5/26/20222 on 2/16/20232 on 2/17/20232 on 8/2/20233 on 1/20/20243 on 1/24/2024

RAUM, Historic

300M150M0202020212022202320242025110133843 on 2/12/2020110133843 on 6/24/2020119997715 on 1/29/2021119997715 on 1/29/2021151694613 on 2/15/2022151694613 on 5/26/2022151376576 on 2/16/2023151376576 on 2/17/2023151376576 on 8/2/2023216828298 on 1/20/2024216828298 on 1/24/2024

No. Clients, Historic

2001000202020212022202320242025104 on 2/12/2020104 on 6/24/2020103 on 1/29/2021103 on 1/29/2021109 on 2/15/2022109 on 5/26/2022129 on 2/16/2023129 on 2/17/2023129 on 8/2/2023166 on 1/20/2024166 on 1/24/2024

Holdings

From latest 13F, filed July 18th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
3M CO COM 204K 2K
ABBOTT LABS COM 733K 7K
ALPHA METALLURGICAL RESOUR I COM 1M 4K
ALTRIA GROUP INC COM 308K 7K
APPLE INC COM 642K 3K
ARES CAPITAL CORP COM 3M 152K
ATKORE INC COM 569K 4K
AMERICAN CENTY ETF TR REAL ESTATE ETF 8M 201K
BAIN CAP SPECIALTY FIN INC COM STK 229K 14K
BANK AMERICA CORP COM 2M 44K
BERKSHIRE HATHAWAY INC DEL CL B NEW 3M 8K
BEST BUY INC COM 293K 3K
BOISE CASCADE CO DEL COM 766K 6K
BROADSTONE NET LEASE INC COM 5M 327K
BUILD-A-BEAR WORKSHOP INC COM 491K 19K
BUILDERS FIRSTSOURCE INC COM 779K 6K
PERDOCEO ED CORP COM 2M 85K
THE CIGNA GROUP COM 427K 1K
DEERE & CO COM 507K 1K
ELEVANCE HEALTH INC COM 225K 415
EVERI HLDGS INC COM 240K 29K
GARRETT MOTION INC COM 117K 14K
GILEAD SCIENCES INC COM 456K 7K
GLOBAL X FDS US PFD ETF 6M 286K
GOLUB CAP BDC INC COM 5M 322K
INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 1M 9K
HARMONY BIOSCIENCES HLDGS IN COM 345K 11K
HEIDRICK & STRUGGLES INTL IN COM 753K 24K
HP INC COM 2M 50K
IMMERSION CORP COM 263K 28K
INVESCO EXCHANGE TRADED FD T FTSE RAFI 1500 389K 10K
IRONWOOD PHARMACEUTICALS INC COM CL A 256K 39K
ISHARES TR 0-5 YR TIPS ETF 430K 4K
ISHARES TR CORE US AGGBD ET 582K 6K
ISHARES TR PFD AND INCM SEC 1M 44K
ISHARES TR SHRT NAT MUN ETF 855K 8K
JPMORGAN CHASE & CO. COM 244K 1K
KORN FERRY COM NEW 324K 5K
MEDTRONIC PLC SHS 509K 6K
MERCK & CO INC COM 248K 2K
MICROSOFT CORP COM 2M 5K
OMNICOM GROUP INC COM 603K 7K
ORACLE CORP COM 811K 6K
BLUE OWL CAPITAL CORPORATION COM 3M 204K
PLAYTIKA HLDG CORP COM 261K 33K
INVESCO EXCH TRADED FD TR II FTSE RAFI EMNG 481K 24K
INVESCO EXCH TRADED FD TR II FNDMNTL HY CRP 864K 48K
INVESCO EXCH TRADED FD TR II PFD ETF 6M 495K
INVESCO EXCH TRADED FD TR II FTSE RAFI DEV 703K 14K
INVESCO EXCH TRADED FD TR II FNDMNTL IG CRP 2M 71K
REALTY INCOME CORP COM 3M 64K
SCHWAB STRATEGIC TR 5 10YR CORP BD 922K 21K
SCHWAB STRATEGIC TR FUNDAMENTAL EMER 8M 258K
SCHWAB STRATEGIC TR FUNDAMENTAL INTL 15M 419K
SCHWAB STRATEGIC TR FUNDAMENTAL INTL 8M 225K
SCHWAB STRATEGIC TR FUNDAMENTAL US L 28M 412K
SCHWAB STRATEGIC TR FUNDAMENTAL US S 35M 636K
SCHWAB STRATEGIC TR SHT TM US TRES 7M 146K
SCHWAB STRATEGIC TR US TIPS ETF 7M 142K
SELECT SECTOR SPDR TR FINANCIAL 2M 41K
SIRIUS XM HOLDINGS INC COM 35K 12K
SPDR SER TR NUVEEN BLMBRG SH 752K 16K
SPDR INDEX SHS FDS GLB NAT RESRCE 10M 175K
TARGET CORP COM 888K 6K
TARGET HOSPITALITY CORP COM 176K 20K
TESLA INC COM 319K 2K
TRINET GROUP INC COM 812K 8K
UNITEDHEALTH GROUP INC COM 645K 1K
VANGUARD INTL EQUITY INDEX F GLB EX US ETF 2M 46K
VANGUARD WORLD FD MATERIALS ETF 2M 9K
VANGUARD INDEX FDS REAL ESTATE ETF 6M 67K
VANGUARD SCOTTSDALE FDS SHORT TERM TREAS 853K 15K
VANGUARD STAR FDS VG TL INTL STK F 387K 6K
VECTOR GROUP LTD COM 244K 23K
VANGUARD INTL EQUITY INDEX F FTSE SMCAP ETF 486K 4K
WP CAREY INC COM 4M 64K
WELLS FARGO CO NEW COM 261K 4K
WILLIAMS SONOMA INC COM 1M 4K