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About Us


If you would like to speak with someone regarding Northern Lights Compliance Services media appearances, please contact:

Jami Schlicher at JC Public Relations

TA Associates to Acquire Majority Interest in NorthStar

Monday Feb 9, 2015

TA Associates, a leading global growth private equity firm, today announced it has signed a definitive agreement to acquire a majority interest in NorthStar Financial Services Group, LLC, and its nine subsidiary wealth management industry service providers. NorthStar’s management team will remain significant owners following closing, which is expected to occur in the second quarter of 2015. Additional terms of the transaction were not disclosed.

“NorthStar and its talented management team have created a platform that serves multiple channels within the global wealth management industry, from money management and pooled investment solutions to integrated technology and compliance services,” said M. Roy Burns, a Managing Director at TA Associates who will join NorthStar’s Board of Directors. “NorthStar’s compelling business model adds value for its clients, resulting in an excellent record of growth. TA Associates’ considerable experience in financial services enables us to offer strategic counsel and resources to augment NorthStar’s organic growth and pursue strategic acquisitions to build long-term value.”

With approximately $275 billion in assets under management and administration, NorthStar provides a wide array of support services to registered investment advisors (RIAs), independent broker dealers (IBDs) and investment management firms. The company’s primary business units are CLS Investments, Gemini Alternative Funds, Gemini Fund Services, Gemini Hedge Fund Services, Northern Lights Compliance Services, Northern Lights Distributors and Orion Advisor Services. NorthStar has approximately 700 employees and is headquartered in Omaha, Nebraska, with additional offices in Hauppauge, New York; Chicago, Illinois; Mill Creek, Washington; and Scottsdale, Arizona.

To read the entire press release, click here.

NLCS Marks 10-Year Anniversary

Tuesday Sep 9, 2014

NLCS is celebrating the 10-year anniversary of its founding by NorthStar Financial Services Group, LLC (NorthStar), a holding company for several subsidiaries that manage and service financial assets. "For the past 10 years, Northern Lights Compliance Services has helped small and mid-size fund managers, many of which cannot afford to hire their own compliance-focused professionals, ensure they have the necessary processes in place to stay on top of evolving regulations," said Brian Nielsen, General Counsel at NorthStar. "This business will continue to play a crucial role in our organization as we help more managers bring funds to market in this more stringent regulatory environment." To read the release, click here.

NLCS Opens Office in San Francisco Bay Area

Tuesday Aug 19, 2014

Northern Lights Compliance Services, LLC (NLCS), a team of compliance professionals dedicated to helping mutual funds, registered investment advisers (RIAs) and broker-dealers meet their compliance requirements, has opened an office in San Rafael, Calif., to increase its capability to deliver cost-effective compliance assistance and consulting services to clients across the U.S. With offices on each coast and in the Midwest, NLCS is well-positioned to service its growing client base. Emile R. Molineaux, Senior Compliance Officer at NLCS, will lead the new office in California. To read the release, click here.

Sniffing Out Fraud: The Before and After

Monday Jan 6, 2014

Money Management Executive

Mike Wagner, President of Northern Lights Compliance Services, LLC, a sister company to Gemini, is featured in this article. To read the article, log in here.