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Compliance

Business Continuity Plan

The Company has established a Business Continuity Plan which envisions several potential business disrupting scenarios, including events that are specific events that disrupt our main office and the Company’s business operations. With each scenario the Company has implemented plans designed to ensure that our clients are able to contact the Company regarding any critical issue or records. If you have any further questions regarding our BCP, please contact the Company at 847-226-9713, or write to:

Northlake Capital Management, LLC,
1604 Chicago Ave., Ste. 4,
Evanston, IL. 60021

pdf Northlake Capital Business Continuity Plan

Regulatory Filings

The Company is required to update regulatory filings with the SEC each year. The documents below provide information about the qualifications and business practices of Northlake Capital Management, LLC along with any material changes to our business practices. The SEC and State of Illinois require that Northlake offer existing clients a copy of Form ADV Part 2A each year. Northlake’s practice is to distribute via email Part 2A and 2B to clients each March.

pdf Northlake Capital ADV Part2A 2015

pdf Northlake Capital ADV Part 2B 2015

To see our regulatory filings on the SEC website, please follow the link below:
SEC Investment Adviser Public Disclosure website

Privacy Statement

The document below outlines Northlake’s privacy policy.

pdf Northlake Capital Privacy Statement 2015