ULLAND INVESTMENT ADVISORS, LLC of MINNEAPOLIS, MN is an SEC-registered investment adviser (CRD 109610). Regulatory assets under management: $442.9M.
Compensation: % of AUM.
Clients served: Individuals, High net worth, Pooled vehicles.
| Name | Role | Location |
|---|---|---|
| James Robin Goodfellow Skjong | CHIEF COMPLIANCE OFFICER | — |
| Nathaniel J Beebe | PRESIDENT | — |
| Jared Perry Plotz | DIRECTOR OF RESEARCH | — |
| ULLAND JAMES EDWARD | CHIEF EXECUTIVE OFFICER; PRESIDENT; PRESIDENT/CHIEF COMPLIANCE OFFICER | — |
| ULLAND JAMES | PRESIDENT | — |
| Skjong James Robin Goodfellow | CHIEF COMPLIANCE OFFICER | — |
| Beebe Nathaniel J | PORTFOLIO MANAGER; PRESIDENT | — |
| PLOTZ JARED PERRY | DIRECTOR OF RESEARCH | — |
| Nathaniel J. Beebe | PRESIDENT | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2025-12-29 | regulatory | ULLAND INVESTMENT ADVISORS, LLC IS CURRENTLY WORKING WITH THE MINNESOTA DEPARTMENT OF COMMERCE TO CORRECT AN INVESTMENT ADVISOR REPRESENTATIVE REGISTRATION ISSUE. | Pending | — |
| 2025-12-29 | regulatory | THE MINNESOTA DEPARTMENT OF COMMERCE ALLEGED THAT THE FIRM ALLOWED THREE OF ITS INVESTMENT ADVISER REPRESENTATIVES TO PROVIDE INVESTMENT ADVICE TO MINNESOTA CONSUMERS WITHOUT BEING PROPERLY REGISTERED OR EXEMPT FROM REGISTRATION, IN VIOLATION OF MINNESOTA STATUTES ? 80A.58(A). | Final | $30K |