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CRD 120270
DENVER, CO
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| BROOKE (HOLDCO1) INC | Shareholder | E | yes | 04/2006 | Mar 30, 2012 | Apr 20, 2016 |
| BROOKE HOLDINGS, LLC | SOLE SHARE HOLDER OF COMON STOCK OF BROOKE HOLDINGS, INC. | E | yes | 04/2006 | Mar 30, 2012 | Apr 20, 2016 |
| BROOKE LIFE INSURANCE COMPANY | SOLE SHAREHOLDER | E | yes | 06/1995 | Mar 30, 2012 | Apr 20, 2016 |
| CICOTTE, GREGORY, PHILIP | EXECUTIVE VICE PRESIDENT | Na | yes | 02/2016 | Sep 12, 2014 | Apr 20, 2016 |
| COLLINS, MAURA, KATHRYN | SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER | Na | yes | 10/2010 | Mar 30, 2012 | Apr 20, 2016 |
| DORSEY, GLENN, SCOTT | SENIOR VICE PRESIDENT, CO-CHIEF INVESTMENT OFFICER | Na | yes | 10/2015 | Oct 22, 2015 | Apr 20, 2016 |
| GANGULY, DEVKUMAR, DILIP | SENIOR VICE PRESIDENT, CHIEF INFORMATION OFFICER | Na | yes | 05/2015 | Jun 18, 2015 | Apr 20, 2016 |
| GOATLEY, JULIA, ANNE | Secretary | Na | yes | 05/2015 | Jun 18, 2015 | Apr 20, 2016 |
| HAJDU, ROBERT, WILLIAM | SENIOR VICE PRESIDENT, CHIEF ADMINISTRATION OFFICER | Na | yes | 08/2014 | Sep 12, 2014 | Apr 20, 2016 |
| Harris, Bradley, Olan | MEMBER BOARD OF MANAGERS | Na | yes | 02/2016 | Feb 26, 2016 | Apr 20, 2016 |
| JACKSON NATIONAL LIFE INSURANCE COMPANY | SOLE MEMBER | E | yes | 12/2001 | Mar 30, 2012 | Apr 20, 2016 |
| MANDICH, MARK, BERNARD | MEMBER OF BOARD OF MANAGERS, PRESIDENT AND CHIEF EXECUTIVE OFFICER | Na | yes | 05/2015 | Sep 12, 2014 | Apr 20, 2016 |
| MILLER, OTTO, FRANK | VICE PRESIDENT | Na | yes | 05/2015 | Jun 18, 2015 | Apr 20, 2016 |
| MYERS, PAUL, CHADWICK | MEMBER BOARD OF MANAGERS | Na | yes | 05/2015 | Mar 30, 2012 | Apr 20, 2016 |
| PRIESKORN, LAURA, LOUENE | EXECUTIVE VICE PRESIDENT AND CHIEF OPERATING OFFICER | Na | yes | 02/2016 | Jan 22, 2013 | Apr 20, 2016 |
| PRUDENTIAL (US HOLDCO1) LIMITED | Shareholder | E | yes | 05/2011 | Mar 28, 2014 | Apr 20, 2016 |
| PRUDENTIAL PLC | SOLE SHAREHOLDER | E | yes | 08/2011 | Mar 30, 2012 | Apr 20, 2016 |
| RAUB, CHRIS | SENIOR VICE PRESIDENT, CO-CHIEF INVESTMENT OFFICER | Na | yes | 10/2015 | Jun 18, 2015 | Apr 20, 2016 |
| WETHERELL, WESTON, BARTLEY | SENIOR VICE PRESIDENT, GENERAL COUNSEL AND ASSISTANT SECRETARY | Na | yes | 05/2015 | Sep 12, 2014 | Apr 20, 2016 |
| WRIGHT, DANIEL, EUGENE | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | Na | yes | 12/2014 | Dec 9, 2014 | Apr 20, 2016 |
| ZAMORA, NELSON | SENIOR VICE PRESIDENT | Na | yes | 05/2015 | Jun 18, 2015 | Apr 20, 2016 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| JACKSON NATIONAL ASSET MANAGEMENT, LLC | n/a | Asset manager | $246B | N | yes | n/a |
| PPM AMERICA, INC. | n/a | Institutional manager | $94B | N | yes | n/a |
| BROOKE LIFE INSURANCE COMPANY | n/a | n/a | n/a | N | yes | n/a |
| CURIAN CLEARING, LLC | n/a | n/a | n/a | N | yes | Co |
| IFC HOLDINGS, INC. | n/a | Former SEC adviser | n/a | N | yes | n/a |
| INVESTMENT CENTERS OF AMERICA, INC. | n/a | Former SEC adviser | n/a | N | yes | n/a |
| JACKSON NATIONAL LIFE DISTRIBUTORS LLC | n/a | n/a | n/a | N | yes | n/a |
| JACKSON NATIONAL LIFE INSURANCE COMPANY | n/a | n/a | n/a | Y | yes | n/a |
| NATIONAL PLANNING CORPORATION | n/a | Former SEC adviser | n/a | N | yes | n/a |
| SII INVESTMENTS, INC. | n/a | Former SEC adviser | n/a | N | yes | n/a |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2015 | Mar 30, 2016 | n/a | n/a | 271 | 26 | n/a | n/a | n/a |
| 2014 | Mar 31, 2015 | $11B | $11B | 304 | 158 | n/a | 3 | $59.8M |
| 2013 | Mar 28, 2014 | $9.9B | $9.9B | 321 | 18 | n/a | 2 | $46.0M |
| 2012 | Apr 1, 2013 | $8.3B | $8.3B | 191 | 18 | n/a | n/a | n/a |
| 2011 | Mar 30, 2012 | $6.8B | $6.8B | n/a | n/a | n/a | n/a | n/a |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2015 | n/a | $11B | n/a | $8.3B | n/a | 271 | 304 | n/a | n/a |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| FIDELITY PERSONAL AND WORKPLACE ADVISORS | 3 | Mar 29, 2016 | Nov 15, 2022 | DENVER, CO | Team lift out | Other | 7.3% |
| THE PACIFIC FINANCIAL GROUP, INC. | 2 | Mar 21, 2016 | Dec 12, 2019 | DENVER, CO | Team lift out | Other | 3.6% |
| ADVICE AND PLANNING SERVICES | 3 | Mar 21, 2016 | Jun 20, 2024 | DENVER, CO | Team lift out | Other | 5.5% |
| CHARLES SCHWAB & CO., INC. | 3 | Mar 21, 2016 | Oct 10, 2019 | DENVER, CO | Team lift out | Other | 5.5% |
| SEI INVESTMENTS MANAGEMENT CORP | 3 | Sep 15, 2015 | Mar 23, 2016 | DENVER, CO | Team lift out | Other | 3.7% |
| ASSETMARK, INC. | 4 | Sep 15, 2015 | Jul 7, 2022 | DENVER, CO | Team lift out | Other | 4.9% |
| ADVISORS CAPITAL MANAGEMENT, LLC | 3 | Sep 15, 2015 | Oct 13, 2015 | FRANKLIN, TN | Team lift out | Other | 3.7% |