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
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.
Northlake Capital ADV Part2A 2021
Northlake Capital ADV Part 2B 2021
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.
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