NORTH COMPASS FINANCIAL ADVISORS, LLC
CRD #146626 SEC #801-69206 GRAND RAPIDS, MN 218-326-4722
SEC Registered
Total AUM
$58.5M
Discretionary
$58.5M
Employees
1
Clients
--
Accounts
620
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Minnesota
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 5, 2012
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| ANICH, DALE, ALAN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| ANICH, DALE, ALAN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| ANICH, DALE, ALAN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| NIKKEL, RAYMOND, LEE | I | MANAGING MEMBER | NA | Control |
| NIKKEL, RAYMOND, LEE | I | MANAGING MEMBER | NA | Control |
| NIKKEL, RAYMOND, LEE | I | MANAGING MEMBER | NA | Control |
| NORTHVIEW BANK | DE | MANAGING MEMBER | D | Control |
| NORTHVIEW BANK | DE | MANAGING MEMBER | D | Control |
| NORTHVIEW BANK | DE | MANAGING MEMBER | D | Control |
| NORTH COMPASS FINANCIAL ADVISORS, INC. | DE | OWNER | C | Control |
| NORTH COMPASS FINANCIAL ADVISORS, INC. | DE | OWNER | C | Control |
| NORTH COMPASS FINANCIAL ADVISORS, INC. | DE | OWNER | C | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| CARLSON, RONALD, DEAN | I | NORTHVIEW BANK | F | |
| CARLSON, RONALD, DEAN | I | NORTHVIEW BANK | F | |
| CARLSON, RONALD, DEAN | I | NORTHVIEW BANK | F | |
| ANICH, DALE, ALAN | I | NORTH COMPASS FINANCIAL ADVISORS, INC. | D | Control |
| ANICH, DALE, ALAN | I | NORTH COMPASS FINANCIAL ADVISORS, INC. | D | Control |
| ANICH, DALE, ALAN | I | NORTH COMPASS FINANCIAL ADVISORS, INC. | D | Control |
| NIKKEL, RAYMOND, LEE | I | NORTH COMPASS FINANCIAL ADVISORS, INC. | D | Control |
| NIKKEL, RAYMOND, LEE | I | NORTH COMPASS FINANCIAL ADVISORS, INC. | D | Control |
| NIKKEL, RAYMOND, LEE | I | NORTH COMPASS FINANCIAL ADVISORS, INC. | D | Control |
| POGATCHNIK, BRUCE | I | NORTHVIEW BANK | C | Control |
| POGATCHNIK, BRUCE | I | NORTHVIEW BANK | C | Control |
| POGATCHNIK, BRUCE | I | NORTHVIEW BANK | C | Control |
Registrations
Federal
IA
Mar 5, 2012 REGISTERED
Notice Filings (2)
MN WI
Address
21 NE 5TH STREET, SUITE 301GRAND RAPIDS, MN 55744
United States
Phone: 218-326-4722