DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Pacific Current Group

Former SEC-registered adviserTacoma, WashingtonCRD 157976SEC 801-72415IAPD
Legal name Northern Lights Capital Group, LLC
Latest filing Sep 19, 2023
First filing on the tape Mar 30, 2012 · 27 filings
RAUM
$404M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
15
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$404M gross assets
History
27 filings and snapshots on the tape
RAUM$404M as of Sep 19, 2023
Mar 30, 2012$98.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Sep 19, 2023
Mar 28, 20130 then
Employees (5.A)15 as of Sep 19, 2023
Mar 28, 201317 then
Private funds1 as of Sep 19, 2023
Mar 30, 20121 then
RAUM -3.5% over the last fiscal year+10% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 19, 2023; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$404MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-3.5%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Ownership
a PE fund or sponsor is a 25 percent or greater owner on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$404M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Aurora TrustPrivate Equity Fund$404M1Oct 1, 2015
      Northern Lights Capital Partners, LLCno longer reportedPrivate Equity Fund$123M40Mar 30, 2012
      The Accelerator Fund, LPno longer reportedHedge Fund$8.6M1Mar 28, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • Trent Erickson · Managing Directorcontrol
        since 03/2016 · owns less than 5%
      • Richard Paul Greenwood · Managing Directorcontrol
        since 05/2010 · owns less than 5%
      • David John Griswold · Chief Compliance Officer/General Counselcontrol
        since 03/2013 · owns less than 5%
      Entity owners
      • Northern Lights Midco, LLC · Shareholder
        direct · owns 75% or more
      • Aurora Investment Management Pty Limited · Trustee Of Aurora Trust
        indirect · owns F of Aurora Trust
      • Aurora Trust · Member
        indirect · owns 75% or more of Northern Lights Midco, LLC
      • Pacific Current Group Limited · Unitholder
        indirect · owns 50% to 75% of Aurora Trust
      Related persons
      Schedule D 7.A
      Advisers that list Pacific Current Group as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Non-discretionary RAUM · $418M to $404M
        Mar 23, 2023 to Sep 19, 2023
      • Pooled vehicle RAUM · $418M to $404M
        Mar 23, 2023 to Sep 19, 2023
      • RAUM · $418M to $404M
        Mar 23, 2023 to Sep 19, 2023
      • Employees · 14 to 15
        Sep 27, 2021 to Sep 27, 2022
      • Non-discretionary RAUM · $347M to $418M
        Sep 27, 2021 to Sep 27, 2022
      • Pooled vehicle RAUM · $347M to $418M
        Sep 27, 2021 to Sep 27, 2022
      • RAUM · $347M to $418M
        Sep 27, 2021 to Sep 27, 2022
      • Non-discretionary RAUM · $303M to $347M
        Sep 28, 2020 to Sep 27, 2021
      • Pooled vehicle RAUM · $303M to $347M
        Sep 28, 2020 to Sep 27, 2021
      • RAUM · $303M to $347M
        Sep 28, 2020 to Sep 27, 2021
      • Non-discretionary RAUM · $299M to $303M
        Sep 19, 2019 to Sep 28, 2020
      • Pooled vehicle RAUM · $299M to $303M
        Sep 19, 2019 to Sep 28, 2020
      • RAUM · $299M to $303M
        Sep 19, 2019 to Sep 28, 2020
      • Advisory employees · 1 to 2
        Sep 21, 2018 to Sep 19, 2019
      • BD registered reps · 6 to 8
        Sep 21, 2018 to Sep 19, 2019
      • Employees · 13 to 14
        Sep 21, 2018 to Sep 19, 2019
      • Other offices · 1 to 0
        Sep 21, 2018 to Sep 19, 2019
      • Non-discretionary RAUM · $273M to $299M
        Sep 21, 2018 to Sep 19, 2019
      • Pooled vehicle RAUM · $273M to $299M
        Sep 21, 2018 to Sep 19, 2019
      • RAUM · $273M to $299M
        Sep 21, 2018 to Sep 19, 2019
      • Advisory employees · 2 to 1
        Oct 5, 2017 to Sep 21, 2018
      • BD registered reps · 4 to 6
        Oct 5, 2017 to Sep 21, 2018
      • Employees · 12 to 13
        Oct 5, 2017 to Sep 21, 2018
      • Non-discretionary RAUM · $278M to $273M
        Oct 5, 2017 to Sep 21, 2018
      • Pooled vehicle RAUM · $278M to $273M
        Oct 5, 2017 to Sep 21, 2018
      • RAUM · $278M to $273M
        Oct 5, 2017 to Sep 21, 2018
      • Advisory employees · 5 to 2
        Sep 27, 2017 to Oct 5, 2017
      • Pooled vehicle clients · unset to 1.0
        Sep 27, 2017 to Oct 5, 2017
      • Other offices · unset to 1.0
        Sep 27, 2017 to Oct 5, 2017
      • Pooled vehicle RAUM · unset to 278022883.0
        Sep 27, 2017 to Oct 5, 2017
      • Employees · 15 to 12
        May 3, 2017 to Sep 27, 2017
      • Non-discretionary RAUM · $329M to $278M
        May 3, 2017 to Sep 27, 2017
      • RAUM · $329M to $278M
        May 3, 2017 to Sep 27, 2017
      • HQ city · SEATTLE to TACOMA
        Nov 2, 2016 to Apr 20, 2017
      • Related adviser · true to false
        Nov 2, 2016 to Apr 20, 2017
      • Accounts · 2 to 1
        Sep 28, 2016 to Oct 6, 2016
      • Assets in custody · 8621543.0 to unset
        Sep 28, 2016 to Oct 6, 2016
      • Custody of client assets · true to false
        Sep 28, 2016 to Oct 6, 2016
      • Private funds · 2 to 1
        Sep 28, 2016 to Oct 6, 2016
      • Discretionary RAUM · $8.6M to $0
        Sep 28, 2016 to Oct 6, 2016
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      Provenance
      Form ADV
      SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
      Advisors
      IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
      Class
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026