9AT: PACIFIC CURRENT GROUP

PACIFIC CURRENT GROUP

other names

PACIFIC CURRENT GROUP
NORTHERN LIGHTS CAPITAL GROUP
NORTHERN LIGHTS CAPITAL GROUP, LLC

Adviser Profile

Registration status

Terminated

As of Date	06/13/2024
ADV Location	TACOMA, WA, United States
Adviser Type - Large advisory firm
Number of Employees	15
of those in investment advisory functions	2

AUM^*	403,634,920 -3%
of that, discretionary	0
Private Fund GAV^*	0
Avg Account Size	403,634,920
SMA’s	No
Private Funds	0 1
Contact Info	253 xxxxxxx
Websites

Client Types

- Pooled investment vehicles

Advisory Activities

- Portfolio management for pooled investment vehicles

Compensation Arrangments

Reported AUM

418M 358M 299M 239M 179M 119M 60M

2015 2016 2017 2018 2019 2020 2021 2022 2023

Discretionary

Non-discretionary

Private Funds

GAV Count

Employees

Brochure Summary

Overview

Description of Northern Lights Capital Group and Principal Owners Northern Lights Capital Group, LLC (“Northern Lights”) is a limited liability company formed in October 2006, and is a wholly owned subsidiary of Northern Lights Midco, LLC (“Midco”), a wholly owned US subsidiary of an Australian private equity fund organized as a trust, Aurora Trust. The sole equity unitholder of Aurora Trust is Pacific Current Group Limited (“PAC”), an Australian publicly traded company, which holds 100% of Aurora Trust’s ordinary shares. No other investor holds more than 25% of the total economic interests of Aurora Trust. Because Aurora Trust is not a separate legal person under Australian law, the assets of Aurora Trust are held in the name of its trustee, Aurora Investment Management Pty. Ltd. (“Trustee”), which currently holds such assets in trust for its unitholders and exercises management discretion. Trustee is a wholly owned subsidiary of PAC. Northern Lights has been a registered investment adviser with the U.S. Securities and Exchange Commission (SEC) since June 2011. Investment Management Services to Pooled Investment Vehicles Northern Lights provides investment

advice on behalf of Aurora Trust to the Executive Committee and the Board of Trustee in the form of:
• Continuous management and supervision of the investments made by Aurora Trust in its portfolio companies;
• Research on investment managers for potential investment by Aurora Trust;
• Due diligence on investment managers for investment by Aurora Trust;
• Structuring and negotiating investments by Aurora Trust in portfolio companies; and
• Consulting services to Aurora Trust portfolio companies to enhance the success of the portfolio companies, and therefore the return to Aurora Trust investors. Northern Lights manages Aurora Trust’s assets on a non-discretionary basis. NLCG Distributors, LLC (“Distributors”), which conducts business under the name Pacific Current Group, may also provide sales and marketing services to Aurora Trust portfolio companies. Distributors is a wholly owned subsidiary of Northern Lights. Distributors does not sell or market the Aurora Trust. Assets Under Management As of June 30, 2022, Northern Lights had approximately $418,170,704 in assets under management, all of which was non-discretionary.