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Northern Monarch Capital LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$40,677,521
Total clients
71
23% high-net worth
Total advisors
4
of 4 employees
Firm size
Team
4-10 advisors or $500M+ in AUM
Average clients per advisor
18
Average account size
$572,923
About
Northern Monarch Capital LLC is a registered investment adviser formed in 2024 that provides discretionary asset management, ERISA retirement-plan fiduciary services, and hourly financial planning. The four-advisor firm reports managing about $40.7 million for roughly 71 clients, including small businesses, trusts, estates and plan sponsors.
The firm generally constructs portfolios using exchange-traded funds, mutual funds and common equities and offers discretionary authority with the ability for clients to impose written restrictions; accounts are reviewed at least quarterly and financial plans are updated on request. Its disclosed methods include fundamental, technical, charting and cyclical analysis, and the brochure adds risks related to the use of margin and options and requires custody at a designated broker‑custodian.
Distinctive disclosures include regulatory consent orders involving management persons in 2025 that resulted in administrative fines (with an additional state-level order and fine for one supervised person), a feature that is uncommon among similar team firms. The brochure also emphasizes detailed ERISA 3(21) plan services and notes that one advisory representative maintains an outside media business (disclosed as a potential conflict), which together suggest a notable focus on plan and institutional work and particular firm-level conflicts that prospective clients should review.
Client services
Financial planning
Portfolio management
Pension consulting
Expertise
Retirement income strategy
General retirement planning
Occupation focus
Founder/Business Owner
Retired
Fee options
1.25% annually
$250 per hour
Main office location
Northern Monarch Capital LLC
Fox Island WA, United States
Number of offices
2
Most active in
Northern Monarch Capital LLC has reported serving >5 clients in these states in the last 12 months.
California · South Dakota · Texas · Washington
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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