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
Chief Compliance Officer
Managing Director
2000 South Colorado Boulevard Tower 1
Suite 2000-412
Denver
CO
80222
303-953-4101
nick@northslopecapital.com
Stephanie
Marie
Chichester
President
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