NORTHERN LAKES CAPITAL, L.P.
Adviser information for NORTHERN LAKES CAPITAL, L.P. last updated from Form ADV on March 29th, 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 Partnership |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 10 |
|---|---|
| Investment Advisory/Research | 9 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| 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 | 4 | $232.2M |
| Non-Discretionary | 0 | $0 |
| Total | 4 | $232.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 4 | $232.2M |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| 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 | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-122103 |
|---|---|
| SEC ERA File Number | 801-122103 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 315975 |
| Legal Entity Identifier | None |
Principal Office
150 SOUTH 5TH STREETSUITE 2600
MINNEAPOLIS
MN
United States
Monday - Friday, 9AM-5PM
Tel: 612-562-4288, Fax: None
Chief Compliance Officer
KELLY J. HORNER
CHIEF FINANCIAL OFFICER
150 SOUTH 5TH STREET
SUITE 2600
MINNEAPOLIS
MN
United States
Tel:
612-562-4317
K******@***********************M
(Full email address available in API data)
Regulatory Contact
DEAN WIKENHEISER
MANAGING DIRECTOR
150 SOUTH 5TH STREET
SUITE 2600
MINNEAPOLIS
MN
United States
Tel:
612-817-4955
D***********@***********************M
(Full email address available in API data)
Industry Affiliates
| NLC-E.A. QUINN CO-INVEST GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| NLC-GFS CO-INVEST GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| NORTHERN LAKES CAPITAL IV GP, L.P. | Sponsor, GP, manager of pooled investment vehicles |
| STONE ARCH CAPITAL MANAGEMENT II, L.P. | Sponsor, GP, manager of pooled investment vehicles |
| STONE ARCH CAPITAL MANAGEMENT III, L.P. | Sponsor, GP, manager of pooled investment vehicles |
| STONE ARCH CAPITAL, LLC | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| NLC-E.A. QUINN CO-INVEST, L.P. | Private Equity Fund | $3.1M | $0.1M | 2 |
| NLC-GFS CO-INVEST, L.P. | Private Equity Fund | $12.9M | $0.1M | 4 |
| NORTHERN LAKES CAPITAL FUND IV-A, L.P. | Private Equity Fund | $6.3M | $0.1M | 4 |
| NORTHERN LAKES CAPITAL FUND IV, L.P. | Private Equity Fund | $209.9M | $0.1M | 99 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| NORTHERN LAKES CAPITAL, LLC | Domestic Entity | – | GENERAL PARTNER | 07/2021 | < 5% |
| HORNER, KELLY, JAMES | Individual | – | CHIEF COMPLIANCE OFFICER | 08/2021 | 10-25% |
| LANNIN, CHARLES, BERNARD | Individual | NORTHERN LAKES CAPITAL, LLC | MANAGING MEMBER | 03/2022 | 25-50% |
| SIME, KASEY, THATCHER | Individual | NORTHERN LAKES CAPITAL, LLC | MANAGING MEMBER | 03/2022 | 25-50% |
| GREBENICK, JOEL, VINCENT | Individual | NORTHERN LAKES CAPITAL, LLC | MANAGING MEMBER | 03/2022 | 25-50% |
| LANNIN, CHARLES, BERNARD | Individual | – | LIMITED PARTNER | 03/2022 | 10-25% |
| SIME, KASEY, THATCHER | Individual | – | LIMITED PARTNER | 03/2022 | 10-25% |
| WIKENHEISER, DEAN, SCOTT | Individual | – | LIMITED PARTNER | 03/2022 | 10-25% |
| GREBENICK, JOEL, VINCENT | Individual | – | LIMITED PARTNER | 03/2022 | 10-25% |