Northern Oak Wealth Management, Inc. is a federally registered investment advisor with the U.S. Securities and Exchange Commission. We are required to maintain and update Form ADV annually as part of the SEC.
For the convenience of our current and prospective clients, we post current versions of Form ADV Part I and II online. These forms contain information about our advisors, services, fees, investment strategies and current business practices.
Northern Oak Wealth Management, Inc. (NOWM) is a Federally Registered Investment Advisor with the Securities and Exchange Commission (SEC). As an SEC Registered Advisor, NOWM is required to maintain and update Form ADV annually.
Form ADV has two parts. Part I contains information about the advisor, such as employee education, business and disciplinary history, if any, within the last ten years. Part I must be filed annually with the SEC. This form is filed electronically and is available on the Investment Advisor Public Disclosure (IAPD) website.
Part II includes information and narrative on an advisor’s services, fees, investment strategies and general business practices. Currently, the SEC does not require advisors to file Part II electronically, although it is subject to the same update rules as Part I. Part II is typically available on request from the advisor.
As a matter of convenience to both the clients and prospective clients, NOWM is posting current versions of both Form ADV Part I and II on this website, in a printable PDF format.