{ "crd_number": 316152, "slug": "north-fork-financial-llc-hutchinson-ks-316152", "primary_business_name": "NORTH FORK FINANCIAL, LLC", "legal_name": "NORTH FORK FINANCIAL, LLC", "dbas": [], "city": "Hutchinson", "state": "KS", "country": "United States", "cbsa_code": "26740", "metro": null, "registration_type": "state", "registration_status": "APPROVED", "registration_date": "2022-01-21", "years_registered": 4, "period": "2026-10-01", "filing_date": "2026-01-06", "carried_forward": false, "raum_total": 27788180.0, "raum_discretionary": 27788180.0, "raum_non_discretionary": 0.0, "raum_band": "25m_100m", "raum_band_label": "$25 million to $100 million", "total_employees": 5, "advisory_employees": 2, "client_count_bucket": "fewer_than_5_in_some_types", "clients_by_type": { "individuals": { "raum": 24626922.0, "count": 134 }, "high_net_worth_individuals": { "raum": 3161258.0, "count": 2, "fewer_than_5": true } }, "compensation_types": [ "fixed", "percentage_of_aum" ], "advisory_activities": [ "financial_planning", "portfolio_management_individuals" ], "wrap_fee_participant": false, "disclosure_yes_count": 2, "states_registered": [ "KS" ], "websites": [ "https://linkedin.com/in/seth-surface-b2a9ba1a5", "https://linkedin.com/in/shawn-wyatt-cfp%C2%AE-crpc%C2%AE-73b74722", "https://northforkfs.com", "https://youtube.com/channel/UCoKY5yUierwluQXOC-_IGPA" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/316152", "disclosure_items": [ { "item": "11.E(2)", "question": "Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?" }, { "item": "11.E(4)", "question": "Has a self-regulatory organization or a commodities exchange ever disciplined the firm or an advisory affiliate by expelling or suspending it from membership, barring or suspending it from association with other members, or otherwise restricting its activities?" } ], "city_as_filed": "HUTCHINSON", "url": "https://advisorcensus.com/firm/north-fork-financial-llc-hutchinson-ks-316152", "display_name": "North Fork Financial, LLC", "summary": "North Fork Financial, LLC is a state-registered investment advisory firm in Hutchinson, KS, registered since 2022, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated January 6, 2026.", "citation": "AdvisorCensus. North Fork Financial, LLC (CRD 316152): Form ADV filing data as of October 2026.", "registration_type_label": "State-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Fixed fees (other than subscription fees)" ], "advisory_activity_labels": [ "Financial planning services", "Portfolio management for individuals and/or small businesses" ], "quick_answers": [ { "q": "How is North Fork Financial, LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), North Fork Financial, LLC reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees). The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Where is North Fork Financial, LLC located?", "a": "North Fork Financial, LLC's principal office is in Hutchinson, KS, according to its Form ADV." }, { "q": "Is North Fork Financial, LLC registered with the SEC or a state?", "a": "North Fork Financial, LLC is a state-registered investment advisory firm, registered since 2022. Status as filed: APPROVED. CRD 316152." }, { "q": "How much does North Fork Financial, LLC manage?", "a": "North Fork Financial, LLC reports $27,788,180 in regulatory assets under management in its Form ADV filing dated January 6, 2026 (100% discretionary)." }, { "q": "How have North Fork Financial, LLC's assets and staff changed since 2021?", "a": "In the Form ADV data for North Fork Financial, LLC: Regulatory assets under management: $0 in the October 2021 data and $27,788,180 in the October 2026 data. Total employees: 2 in October 2021 and 5 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does North Fork Financial, LLC serve?", "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (134); high net worth individuals (2)." }, { "q": "Does North Fork Financial, LLC report any disciplinary disclosures?", "a": "Reports 2 disclosure items on Form ADV Item 11: yes answers to 11.E(2) (self-regulatory organization's finding of a rule violation) and 11.E(4) (self-regulatory organization's expulsion, suspension, bar, or restriction). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/316152" } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 0.0, "total_employees": 2, "filing_date": "2021-09-01" }, { "period": "2026-10-01", "regulatory_assets_under_management": 27788180.0, "total_employees": 5, "filing_date": "2026-01-06" } ], "recent_changes": [], "fees_from_brochure": null, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/north-fork-financial-llc-hutchinson-ks-316152.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 134, "fewer_than_5": false, "raum": 24626922.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 2, "fewer_than_5": true, "raum": 3161258.0 } ], "disclosure_line": "Reports 2 disclosure items on Form ADV Item 11.", "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/316152", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }