NORTHERN LIGHTS

fund distribution & compliance
USE THE NORTHERN LIGHTS TO YOUR ADVANTAGE

Northern Lights Distributors, LLC (NLD) helps investment companies navigate the distribution universe. We collaborate with our fund clients and our industry partners to advocate for their products and services. We are a broker-dealer specializing in providing comprehensive, advisor-driven fund distribution solutions. Treating each relationship uniquely, NLD works side by side with investment advisors to grow fund assets by offering sales and distribution support and assisting in defining and implementing marketing and distribution plans. Our distribution services include: advertising review and filing with FINRA, establishing selling agreements, processing 12b-1 payments, and NSCC trading.

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Northern Lights Compliance Services, LLC provides a team of experts who serve as Chief Compliance Officers (CCO) on an independent consulting basis for investment companies and for registered investment advisers. Our goal is to ensure that mutual funds meet stringent regulatory compliance requirements and our broad program is tailored to meet the needs of small- to medium-sized fund groups seeking a cost-effective alternative to hiring a CCO on a full-time basis.

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