New investment advisers in North Dakota

Adviser registrations that became effective in the last 45 days for firms whose main office is in North Dakota: SEC-registered, SEC 120-day, exempt reporting and state-registered. Scored for compliance consultants, custodians, archiving, cyber, E&O and RIA software.

New exempt reporting adviser · 141 New SEC-registered adviser · 90 New SEC adviser (120-day rule) · 88 New state-registered adviser · 302

1 registration effective in the last 45 days matching your filters · page 1 of 1

Score	Effective ↑	Firm	Registration	Location	Employees	RAUM	Flags	Contact	Source
49	2026-09-10	BROADWATER CAPITAL CRD 337717 · 802-137484	New exempt reporting adviser	Fargo, ND	—	—	Advises private funds	subscribers	IAPD

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