SEC Form ADV, by state
The largest investment adviser firms in North Dakota
The current SEC Form ADV data lists 9 investment adviser firms headquartered in North Dakota, of which 1 (11.1%) answered yes to at least one disciplinary or legal question on Form ADV Item 11. Below are the 50 largest by regulatory assets under management, a gross size measure each firm reports itself. Size is not a quality score, and no public record reports any firm's investment returns.
| Firm | City | Regulatory AUM | Fee methods | Item 11 disclosure |
|---|---|---|---|---|
| VIKING FUND MANAGEMENT LLC | MINOT | $1.1B | % of AUM | none reported |
| BRADY MARTZ WEALTH SOLUTIONS, LLC | GRAND FORKS | $795M | % of AUM | none reported |
| PRAIRIEWOOD WEALTH MANAGEMENT | FARGO | $365M | % of AUMhourlyfixedother | none reported |
| JOHNSON WEALTH MANAGEMENT, LLC | GRAND FORKS | $323M | % of AUMhourlyfixed | none reported |
| WEALTH FORWARD, LLC | FARGO | $228M | % of AUMhourlyfixed | none reported |
| FINANCIAL STRATEGIES GROUP | FARGO | $189M | % of AUMhourlyfixed | yes, reported |
| FJELL CAPITAL | FARGO | $187M | % of AUMhourlyfixed | none reported |
| LIGHT FINANCIAL SERVICES, INC. | FARGO | $176M | % of AUMfixed | none reported |
| CAPITAL CITY WEALTH MANAGEMENT, INC. | BISMARCK | $130M | % of AUM | none reported |
Source: SEC Form ADV monthly data, firms reporting a North Dakotaheadquarters address. Fee-method chips are the compensation arrangements each firm checked on Item 5.E; the disclosure column is the firm's own answer to Item 11. Click through to any firm for the full record and a link to its SEC detail page.
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