PACIFIC CURRENT GROUP
NORTHERN LIGHTS CAPITAL GROUP, LLC Legal Name
Adviser information for PACIFIC CURRENT GROUP last updated from Form ADV on September 19th, 2023. 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 | JUNE |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 15 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 8 |
| 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 | 0 | $0 |
| Non-Discretionary | 1 | $403.6M |
| Total | 1 | $403.6M |
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 | 1 | $403.6M |
| 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 | 100 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | BUDGETED MANAGEMENT FEE |
Identifiers
| SEC RIA File Number | 801-72415 |
|---|---|
| SEC ERA File Number | 801-72415 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 157976 |
| Legal Entity Identifier | None |
Principal Office
909 A STREETSUITE 810
TACOMA
WA
United States
Monday - Friday, 8:00 AM TO 5:00 PM
Tel: 253-238-0417, Fax: None
Chief Compliance Officer
DAVID GRISWOLD
GENERAL COUNSEL
909 A STREET
SUITE 810
TACOMA
WA
United States
Tel:
(206)799-5381
D********@*************M
(Full email address available in API data)
Industry Affiliates
| PACIFIC CURRENT GROUP | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| AURORA TRUST | Private Equity Fund | $403.6M | $0.0M | 1 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| NORTHERN LIGHTS MIDCO, LLC | Domestic Entity | – | SHAREHOLDER | 07/2014 | > 75% |
| GREENWOOD, PAUL, RICHARD | Individual | – | MANAGING DIRECTOR | 05/2010 | < 5% |
| GRISWOLD, JOHN, DAVID | Individual | – | CHIEF COMPLIANCE OFFICER/GENERAL COUNSEL | 03/2013 | < 5% |
| ERICKSON, TRENT | Individual | – | MANAGING DIRECTOR | 03/2016 | < 5% |
| AURORA INVESTMENT MANAGEMENT PTY LIMITED | Foreign Entity | AURORA TRUST | TRUSTEE OF AURORA TRUST | 11/2014 | |
| AURORA TRUST | Foreign Entity | NORTHERN LIGHTS MIDCO, LLC | MEMBER | 11/2014 | > 75% |
| PACIFIC CURRENT GROUP LIMITED | Foreign Entity | AURORA TRUST | UNITHOLDER | 11/2014 | 50-75% |