0001613684-21-000004.txt : 20211220 0001613684-21-000004.hdr.sgml : 20211220 20211220130150 ACCESSION NUMBER: 0001613684-21-000004 CONFORMED SUBMISSION TYPE: MA/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20211130 DATE AS OF CHANGE: 20211220 FILER: COMPANY DATA: COMPANY CONFORMED NAME: North Slope Capital Advisors, Inc. CENTRAL INDEX KEY: 0001613684 IRS NUMBER: 264642976 STATE OF INCORPORATION: CO FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: MA/A SEC ACT: 1934 Act SEC FILE NUMBER: 867-00242 FILM NUMBER: 211504482 BUSINESS ADDRESS: STREET 1: 1165 DELAWARE STREET STREET 2: SUITE 140 CITY: DENVER STATE: CO ZIP: 80204 BUSINESS PHONE: 303-953-4101 MAIL ADDRESS: STREET 1: 1165 DELAWARE STREET STREET 2: SUITE 140 CITY: DENVER STATE: CO ZIP: 80204 MA/A 1 primary_doc.xml MA/A 0001613684 XXXXXXXX Nicholas E. Taylor 303-953-4101 nick@northslopecapital.com nick@northslopecapital.com steph@northslopecapital.com North Slope Capital Advisors, Inc. 26-4642976 866-00237-00 867-00242 Municipal Securities Rulemaking Board K0201 2000 South Colorado Boulevard Tower 1 Suite 2000-412 Denver CO 80222 303-953-4101 N www.northslopecapital.com Nicholas Edward Taylor

2000 South Colorado Boulevard Tower 1 Suite 2000-412 Denver CO 80222

303-953-4101 nick@northslopecapital.com Stephanie Marie Chichester

2000 South Colorado Boulevard Tower 1 Suite 2000-412 Denver CO 80222

303-953-4101 steph@northslopecapital.com December CO 04-14-2008 N 2 2 0 0 0 50 Municipal Entities Non-profit organizations 0 0 0 Not Applicable Hourly Charges Fixed Fees Contingent Fees Not Applicable Advice Insurance Of MS Advice Investment Of Proceeds MS Advice ME Investments Advice ME Other Investments Advice Guaranteed IC Advice Use Of MD Advice On Selection N 0 N N N N N N N N N N Y N N N N N N N N N N N N N N N N N N N N N N N N N N Y Y N North Slope Capital Advisors, Inc. N President 04-14-2008 E Y 2263228 Stephanie Marie Chichester President 04-14-2008 E Y 2263228 Nicholas Edward Taylor Chief Compliance Officer 05-05-2014 NA Y 4563340 North Slope Capital Advisors, Inc. N President 04-14-2008 E Y 2263228 Stephanie Marie Chichester President 04-14-2008 E Y 2263228 Nicholas Edward Taylor Chief Compliance Officer 05-05-2014 NA Y 4563340 9-H2 DISTRICT COURT, PITKIN COUNTY, COLORADO 2017 CV 030137 BASE VILLAGE METROPOLITAN DISTRICT N0.2 v THE RELATED COMPANIES, LP ETAL. 506 EAST MAIN STREET ASPEN CO 81611 North Slope was engaged by Base Village Metropolitan District No. 2 to act as an independent municipal financial advisor in connection with a 2016 refinancing transaction. Base Village Metropolitan District No. 2 subsequently asserted that North Slope breached its fiduciary duties and aided and violated the Colorado Securities Act. North Slope vigorously disputed these allegations. The allegations were reviewed by an expert, Lori Raineri of Government Financial Strategies, who opined that North Slopes conduct was reasonable and appropriate and that North Slope complied with all relevant professional standards applicable to municipal advisors under MSRB rules. Ultimately, though North Slope strongly believed that it acted appropriately, it chose to settle the case, making clear that it was not admitting, and expressly denied, liability. As a result of the settlement, the parties stipulated to the dismissal of Base Village Metropolitan District No. 2s claims against North Slope and the Court approved that stipulation, and dismissed the claims against North Slope on September 21, 2021. 12-01-2017 Private Plantiff BASE VILLAGE METROPOLITAN DISTRICT N0.2 Y THE RELATED COMPANIES, LP, a New York limited partnership ; RELATED WESTPAC, LLC, a Delaware limited company; BASE VILLAGE OWNER, LLC, a Delaware limited liability company; SNOWMASS ACQUISITfON COMPANY, LLC, a Delaware limited liability company; SNOWMASS RELATED HOLDCO, LLC, a Delaware limited liability Company; SNOWMASS HOLDCO BV, LLC, a Delaware limited liability company; RELATED COLORADO REAL ESTATE, LLC, a Delaware limited liability company; HYPO REAL ESTATE CAPlTAL CORPORATION , a Delaware corporation; SNOWMASS BV HOLDCO, LLC, a Delaware limited liability company; US BANK NATIONAL ASSOCIATION , a national banking association organized and existing under the laws of the United States; WHITE, BEAR, AN KELE, TANAKA & WALDRON, a Colorado professional corporation ; DA DAVIDSON & CO., a New York corporation; CLIFTON LARSON ALLEN, LLP; NORTH SLOPE CAPITAL ADVISORS, a Colorado corporation; LOWE ENTERPRISES REAL ESTATE SERVICES, INC., a California Corporation; DESTINATION SNOWMASS SER Y Money Damage(s) (Private/Civil Complaint) Disgorgement Other Constructive trust 03-22-2018 No Product ADVICE GIVEN TO PLAINTIFF IS ALLEDGED AS THE BASIS FOR SECURITIES AND COCCA VIOLATIONS AND COMMON LAW CLAIMS 09-21-2021 Dismissed Order Settled The matter was resolved pursuant to a settlement agreement. There was no admission of liability and liability was disputed. As a part of the settlement agreement, the parties stipulated to dismiss the claims against North Slope and that the Court issued an order approving the stipulation to dismiss. N N Nicholas Edward Taylor Nicholas Edward Taylor Managing Director and Chief Compliance Officer 11-30-2021 N N N N N Y Y N N N N N N N N N N N N N N