Northern Oak Capital Management, Inc.
(NOCM) is a Federally Registered Investment Advisor
with the Securities and Exchange Commission (SEC).
As an SEC Registered Advisor, NOCM 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, NOCM is posting current
versions of both Form ADV Part I and II on this website,
in a printable pdf format.
