DFX Intelligence

Data Factory

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)

NATIONAL PLANNING CORPORATION, CRD 29604

LOS ANGELES, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:5e868f27-c73f-6b57-d4b3-92cc71b69580

Data as of Jun 13, 2018 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:24 AM UTC and rebuilt at most every 15 minutes.

Relationships: 1,545
Dated events: 2
On other graphs: 2
Observed: Mar 30, 2012 to Jun 13, 2018
42 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

National Planning Corporation ("npc of America" in Fl & NY)

Intermediary · shared crd

Venture Capitalidentity

National Planning Co.

Venture manager · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 15
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
Individual clients: 0
High net worth clients: 0
SEC number: 801-41015
CRD: 29604
Filings on the tape: 42
First filed: Mar 30, 2012
Latest filed: Jun 13, 2018
Organised: Corporation, Delaware

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
BROOKE (HOLDCO1) INC.	Shareholder	E	yes	04/2006	Mar 30, 2012	Jun 13, 2018
COLEMAN, CAREN LESLIE	VICE PRESIDENT	Na	yes	01/2010	Mar 30, 2012	Jun 13, 2018
COLLINS, MAURA KATHRYN	SVP/CFO- NATIONAL PLANNING HOLDINGS	Na	yes	10/2015	Mar 30, 2012	Jun 13, 2018
DOWDEN, STEVEN HOWARD	PRESIDENT AND CEO OF NATIONAL PLANNING HOLDINGS, INC.; DIRECTOR	Na	yes	02/2018	Dec 9, 2015	Jun 13, 2018
GUNDERSON, GERRY A	NPH GENERAL COUNSEL AND SVP OF REGULATORY AFFAIRS	Na	yes	05/2013	Mar 30, 2012	Jun 13, 2018
HARRIS, BRADLEY OLAN	Director	Na	yes	02/2017	Aug 8, 2017	Jun 13, 2018
JACKSON HOLDINGS LLC	Shareholder	E	yes	04/2006	Mar 29, 2018	Jun 13, 2018
JOHNSON, JOHN CHARLES	PRESIDENT/CEO/DIRECTOR	Na	yes	01/2013	Mar 30, 2012	Jun 13, 2018
LAMBRECHTS, VANESSA MARIE RODRIGUEZ	VP/FINOP CONTROLLER	Na	yes	04/2013	Mar 30, 2012	Jun 13, 2018
MARTINEZ, WENDY TAMIE	SVP OPERATIONS	Na	yes	01/2012	Mar 30, 2012	Jun 13, 2018
MCCALLOP, PATRICIA ANN	NPH AND NPC SVP CHIEF COMPLIANCE OFFICER	Na	yes	06/2015	Jul 15, 2015	Jun 13, 2018
MILLER, JAMES PETER	NPH SVP, OPERATIONS	Na	yes	02/2007	Mar 30, 2012	Jun 13, 2018
NATIONAL PLANNING HOLDINGS, INC.	Shareholder	E	yes	07/1998	Mar 30, 2012	Jun 13, 2018
PRUDENTIAL (US HOLDCO1)	Shareholder	E	yes	04/2006	Jan 14, 2016	Jun 13, 2018
PRUDENTIAL PLC	Shareholder	E	yes	08/2004	Mar 30, 2012	Jun 13, 2018
STONE, JEREMY MICHAEL	VICE PRESIDENT COMPLIANCE	Na	yes	12/2015	Aug 8, 2017	Jun 13, 2018

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

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
FIRST DAKOTA, INC.	n/a	n/a	n/a	N	yes	n/a
IFC HOLDINGS, INC.	n/a	Former SEC adviser	n/a	N	yes	n/a
INVEST FINANCIAL CORPORATION INSURANCE AGENCY INC. OF DELAWARE	n/a	n/a	n/a	N	yes	n/a
INVEST FINANCIAL CORPORATION INSURANCE AGENCY INC. OF ILLINOIS	n/a	n/a	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	N	yes	n/a
JACKSON NATIONAL LIFE INSURANCE COMPANY OF NEW YORK	n/a	n/a	n/a	N	yes	n/a
SII INVESTMENTS, INC.	n/a	Former SEC adviser	n/a	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2017	Mar 29, 2018	n/a	n/a	15	2	0	n/a	n/a
2016	Mar 31, 2017	$7.4B	$6.3B	1,725	1,151	n/a	n/a	n/a
2015	Mar 29, 2016	$7.8B	$4.8B	1,780	1,110	n/a	n/a	n/a
2014	Mar 31, 2015	$7.2B	$4.5B	1,800	1,070	n/a	n/a	n/a
2013	Mar 31, 2014	$6.1B	$3.6B	1,800	993	n/a	n/a	n/a
2012	Apr 1, 2013	$5.1B	$3.0B	1,806	1,077	n/a	n/a	n/a
2011	Mar 30, 2012	$4.2B	$2.3B	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2017	n/a	$7.4B	n/a	$7.2B	n/a	15	1,725	0	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction; showing 20 of 120

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
ASSETMARK, INC.	2	Feb 13, 2018	May 4, 2022	LOS ANGELES, CA	Team lift out	Other	8.3%
CETERA ADVISOR NETWORKS LLC	2	Jan 2, 2018	Mar 23, 2018	EL SEGUNDO, CA	Team lift out	Other	5.3%
WESTERN INTERNATIONAL SECURITIES	2	Jan 2, 2018	Aug 19, 2019	EL SEGUNDO, CA	Team lift out	Other	5.3%
LPL FINANCIAL LLC	2	Jan 2, 2018	Apr 5, 2018	EL SEGUNDO, CA	Team lift out	Other	5.3%
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	2	Jan 2, 2018	May 30, 2018	EL SEGUNDO, CA	Team lift out	Other	5.3%
FUTURE PLANNING SYSTEMS, INC.	2	Dec 5, 2017	Nov 28, 2011	LOS ANGELES, CA	Team lift out	Other	1.5%
LEXCO WEALTH MANAGEMENT, INC.	3	Dec 1, 2017	Jan 25, 2018	LOS ANGELES, CA	Team lift out	Other	1.9%
THE PLANNERS NETWORK, INC.	3	Nov 29, 2017	Jul 6, 2016	LOS ANGELES, CA	Team lift out	Other	0.7%
OSTROFE FINANCIAL CONSULTANTS INC	2	Nov 29, 2017	Jan 1, 2025	GRASS VALLEY, CA	Team lift out	Other	0.5%
LEELYN SMITH, LLC	2	Nov 29, 2017	Apr 7, 2021	OAK BROOK, IL	Team lift out	Other	0.5%
ROSENTHAL ADVISORY SERVICES, L.P.	3	Nov 29, 2017	Jul 11, 2017	IRVING, TX	Team lift out	Other	0.7%
LEWIS M. WALLENSKY ASSOCIATES	2	Nov 29, 2017	Jan 5, 2017	LOS ANGELES, CA	Team lift out	Other	0.5%
THE WEALTH CONSULTING GROUP	2	Nov 29, 2017	Jul 16, 2018	PALM DESERT, CA	Team lift out	Other	0.5%
TRILOGY CAPITAL, INC.	3	Nov 29, 2017	Dec 21, 2016	SCOTTSDALE, AZ	Team lift out	Other	0.7%
TRILOGY CAPITAL, INC.	49	Nov 29, 2017	Oct 27, 2017	LOS ANGELES, CA	Team lift out	Other	11.8%
TRILOGY CAPITAL, INC.	7	Nov 29, 2017	Dec 8, 2017	DENVER, CO	Team lift out	Other	1.7%
TRILOGY CAPITAL, INC.	3	Nov 29, 2017	Jul 5, 2016	WOBURN, MA	Team lift out	Other	0.7%
VALLEY WEALTH STRATEGIES	14	Nov 29, 2017	Nov 16, 2017	LOS ANGELES, CA	Team lift out	Other	3.4%
VALLEY WEALTH STRATEGIES, LLC	2	Nov 29, 2017	Jan 18, 2018	SANTA CRUZ, CA	Team lift out	Other	0.5%
GATEWAY WEALTH PARTNERS, LLC	6	Nov 29, 2017	Feb 18, 2026	LOS ANGELES, CA	Team lift out	Other	1.4%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
COMPASS POINT RETIREMENT PLANNING, INC.	3	Sep 7, 2023	Oct 3, 2007	WAKEFIELD, MA	Firm absorbed	Other	100.0%
INVEST FINANCIAL CORPORATION	2	Jun 25, 2018	Mar 27, 2018	APPLETON, WI	Channel change	Other	66.7%
BEACON FINANCIAL GROUP	2	Dec 31, 2016	Nov 28, 2006	WARREN, NJ	Team lift out	Other	100.0%
FINANCIAL FOCUS	2	Sep 22, 2016	Jun 13, 2000	CARLSBAD, CA	Team lift out	Other	100.0%
VSR ADVISORY SERVICES	2	Aug 11, 2016	Aug 10, 2016	HUTCHINSON, KS	Team lift out	Other	1.6%
HARBOUR INVESTMENTS, INC.	4	Jul 18, 2016	Jul 18, 2016	BLOOMINGTON, MN	Team lift out	Other	3.8%
WADDELL & REED	2	May 19, 2016	Jan 9, 2017	OVERLAND PARK, KS	Team lift out	Other	0.1%
VOYA FINANCIAL ADVISORS, INC.	5	Apr 22, 2016	Apr 21, 2016	EDINA, MN	Team lift out	Other	0.4%
CETERA ADVISORS LLC	2	Nov 10, 2015	Nov 9, 2015	ISELIN, NJ	Team lift out	Other	0.6%
FIRST ALLIED ADVISORY SERVICES, INC.	2	Oct 23, 2015	Oct 26, 2015	ORANGE, CA	Team lift out	Other	0.4%
TIMECAPITAL INVESTOR ADVISORY SERVICES INC	2	Jan 5, 2015	Jan 5, 2015	PORT JEFFERSON STATION, NY	Team lift out	Other	100.0%

Relationships

showing 80 of 1,545

Affiliated with (10)

→ PPM AMERICA INCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ JACKSON NATIONAL ASSET MANAGEMENT, LLCRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ INVEST FINANCIAL CORPORATIONRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ INVESTMENT CENTERS OF AMERICA, INC.Registered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ SII INVESTMENTS, INC.Registered adviserother investment adviser, broker-dealer, common control
factForm ADV
← INVEST FINANCIAL CORPORATIONRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
← INVESTMENT CENTERS OF AMERICA, INC.Registered adviserother investment adviser, broker-dealer, common control
factForm ADV
← SII INVESTMENTS, INC.Registered adviserother investment adviser, broker-dealer, common control
factForm ADV
← CURIAN CAPITAL, LLCRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
← JACKSON INVESTMENT MANAGEMENT, LLCRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV

Controls (15)

← MILLER, JAMES PETEROwnerNPH SVP, OPERATIONS, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← JOHNSON, JOHN CHARLESOwnerPRESIDENT/CEO/DIRECTOR, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← GUNDERSON, GERRY AOwnerNPH GENERAL COUNSEL AND SVP OF REGULATORY AFFAIRS, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← DOWDEN, STEVEN HOWARDOwnerPRESIDENT AND CEO OF NATIONAL PLANNING HOLDINGS, INC.; DIRECTOR, ownership code NA, individual
Dec 9, 2015 to presentfactForm ADV
← MARTINEZ, WENDY TAMIEOwnerSVP OPERATIONS, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← COLEMAN, CAREN LESLIEOwnerVICE PRESIDENT, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← COLLINS, MAURA KATHRYNOwnerSVP/CFO- NATIONAL PLANNING HOLDINGS, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← LAMBRECHTS, VANESSA MARIE RODRIGUEZOwnerVP/FINOP CONTROLLER, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← STONE, JEREMY MICHAELOwnerVICE PRESIDENT COMPLIANCE, ownership code NA, individual
Aug 8, 2017 to presentfactForm ADV
← MCCALLOP, PATRICIA ANNOwnerNPH AND NPC SVP CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jul 15, 2015 to presentfactForm ADV
← HARRIS, BRADLEY OLANOwnerDIRECTOR, ownership code NA, individual
Aug 8, 2017 to presentfactForm ADV
← BROOKE (HOLDCO1) INC.OwnerSHAREHOLDER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV
← JACKSON HOLDINGS LLCOwnerSHAREHOLDER, ownership code E, domestic entity
Mar 29, 2018 to presentfactForm ADV
← NATIONAL PLANNING HOLDINGS, INC.OwnerSHAREHOLDER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV
← PRUDENTIAL (US HOLDCO1)OwnerSHAREHOLDER, ownership code E, foreign entity
Jan 14, 2016 to presentfactForm ADV

Moved with (18)

→ GATEWAY WEALTH PARTNERS, LLCRegistered adviser6 advisors, team lift out
Nov 29, 2017 to Feb 18, 2026factForm ADV
→ OSTROFE FINANCIAL CONSULTANTS INCRegistered adviser2 advisors, team lift out, same day
Nov 29, 2017 to Jan 1, 2025factForm ADV
→ LPL FINANCIAL LLCRegistered adviser2 advisors, team lift out
Oct 4, 2017 to Jan 1, 2025factForm ADV
→ COMMONWEALTH FINANCIAL NETWORKRegistered adviser2 advisors, team lift out, same day
Nov 1, 2017 to Dec 4, 2024factForm ADV
→ ASSETMARK, INC.Registered adviser2 advisors, team lift out
Feb 13, 2018 to May 4, 2022factForm ADV
→ GUARDIAN ASSET ADVISORS, LLCRegistered adviser6 advisors, team lift out, same day
Oct 11, 2017 to Nov 19, 2021factForm ADV
→ OSAIC WEALTH, INC.Registered adviser5 advisors, team lift out
Oct 23, 2017 to Apr 26, 2021factForm ADV
→ LEELYN SMITH, LLCRegistered adviser2 advisors, team lift out, same day
Nov 29, 2017 to Apr 7, 2021factForm ADV
→ OBSIDIAN PERSONAL PLANNING SOLUTIONS, LLCRegistered adviser2 advisors, team lift out, same day
Aug 2, 2017 to Nov 7, 2019factForm ADV
→ WESTERN INTERNATIONAL SECURITIESRegistered adviser2 advisors, team lift out, same day
Jan 2, 2018 to Aug 19, 2019factForm ADV
→ CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.Registered adviser3 advisors, team lift out
Oct 24, 2017 to Jan 11, 2019factForm ADV
→ THE WEALTH CONSULTING GROUPRegistered adviser2 advisors, team lift out
Nov 29, 2017 to Jul 16, 2018factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviser2 advisors, team lift out, same day
Jan 2, 2018 to May 30, 2018factForm ADV
← INVESTMENT CENTERS OF AMERICA, INC.Registered adviser2 advisors, team lift out, same day
Jun 25, 2018 to Mar 27, 2018factForm ADV
→ CETERA ADVISOR NETWORKS LLCRegistered adviser2 advisors, team lift out, same day
Jan 2, 2018 to Mar 23, 2018factForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviser2 advisors, team lift out, same day
Nov 10, 2017 to Feb 28, 2018factForm ADV
→ SECURITIES AMERICA ADVISORS, INC.Registered adviser21 advisors, team lift out
Oct 25, 2017 to Jan 19, 2018factForm ADV
→ VALLEY WEALTH STRATEGIES, LLCRegistered adviser2 advisors, team lift out, same day
Nov 29, 2017 to Jan 18, 2018factForm ADV

Registered with (31)

← JOHN CHARLES JOHNSONAdvisorregistration: previous registration
Jan 28, 2004 to Jun 25, 2018factForm ADV
← Dawn Renee HooverAdvisorregistration: previous registration
Mar 17, 2017 to Jun 25, 2018factForm ADV
← WENDY TAMIE MARTINEZAdvisorregistration: previous registration
Oct 11, 2000 to Jun 25, 2018factForm ADV
← Philip Eric WeisbachAdvisorregistration: previous registration
Mar 27, 2018 to Jun 25, 2018factForm ADV
← ADAM ROBERT KATCHAdvisorregistration: previous registration
Feb 27, 2018 to Jun 25, 2018factForm ADV
← PATRICIA Rutherford MCCALLOPAdvisorregistration: previous registration
Mar 30, 2011 to Jun 25, 2018factForm ADV
← CHRISTOPHER THOMAS WELLSAdvisorregistration: previous registration
Jan 17, 2017 to Jun 25, 2018factForm ADV
← DANIEL EUGENE WRIGHTAdvisorregistration: previous registration
Dec 1, 2017 to Jun 4, 2018factForm ADV
← ANDREW JOHN MAERTZAdvisorregistration: previous registration
Mar 24, 2016 to Apr 24, 2018factForm ADV
← Jonathan Richard PearnAdvisorregistration: previous registration
Mar 23, 2007 to Apr 23, 2018factForm ADV
← RACHAEL ELYSE ELKENAdvisorregistration: previous registration
Apr 7, 2016 to Apr 23, 2018factForm ADV
← ALLAN REYES AVENAAdvisorregistration: previous registration
Aug 31, 2006 to Mar 19, 2018factForm ADV
← KELLY LYNN BAUMANAdvisorregistration: previous registration
Dec 8, 2016 to Feb 26, 2018factForm ADV
← Robert Loren DowningAdvisorregistration: previous registration
Nov 18, 2010 to Feb 21, 2018factForm ADV
← MATTHEW RAY BOTTAdvisorregistration: previous registration
Mar 1, 2016 to Feb 21, 2018factForm ADV
← FRANK ALBERT HAYNAdvisorregistration: previous registration
Mar 13, 2015 to Feb 21, 2018factForm ADV
← Alfredo GomezAdvisorregistration: previous registration
Nov 28, 2006 to Feb 21, 2018factForm ADV
← JOHN JOSEPH SHANLEYAdvisorregistration: previous registration
Feb 11, 2016 to Feb 21, 2018factForm ADV
← TROY PHILIP TANNENHOLZAdvisorregistration: previous registration
Mar 22, 2016 to Feb 20, 2018factForm ADV
← JOHN STEPHEN MCCORMICKAdvisorregistration: previous registration
Jan 27, 2016 to Feb 13, 2018factForm ADV
← Cynthia Denise StarksAdvisorregistration: previous registration
May 31, 2012 to Feb 13, 2018factForm ADV
← Jennifer Joyce-Viloria SerranoAdvisorregistration: previous registration
May 24, 2016 to Feb 13, 2018factForm ADV
← Clarissa PesqueiraAdvisorregistration: previous registration
Jun 29, 2016 to Feb 13, 2018factForm ADV
← ELIZABETH MARIE BUCKLYAdvisorregistration: previous registration
Nov 24, 2010 to Feb 13, 2018factForm ADV
← Jesus Lopez-CastanedaAdvisorregistration: previous registration
Jan 6, 2010 to Feb 13, 2018factForm ADV
← Valery VelaAdvisorregistration: previous registration
May 30, 2012 to Feb 13, 2018factForm ADV
← VERONICA KUZNETSOVAdvisorregistration: previous registration
Nov 10, 2014 to Feb 8, 2018factForm ADV
← Stephanie Rose MullenaxAdvisorregistration: previous registration
Apr 17, 2017 to Jan 10, 2018factForm ADV
← Efrain SanchezAdvisorregistration: previous registration
Jan 15, 2014 to Jan 2, 2018factForm ADV
← Rodney J ViloriaAdvisorregistration: previous registration
Oct 9, 2015 to Jan 2, 2018factForm ADV
and 1 more

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Sep 7, 2023
Firm absorbed
Compass Point Retirement Planning, Inc.'s advisors moved to National Planning Corporation ("Npc OF America" IN FL & Ny) (Wakefield, MA): 3 of 3 registered, on the same day
Form ADVobserved 5 days ago
3 advisors

Show 1 bookkeeping events

Occurred
Mar 29, 2018
National Planning Corporation ("Npc Of America" In Fl & Ny) reported 15 state-registered advisory representatives, down from 1151 (2017-08-08 to 2018-03-29)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5e868f27-c73f-6b57-d4b3-92cc71b69580
First observed: Mar 30, 2012
Last observed: Jun 13, 2018 100 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)

NATIONAL PLANNING CORPORATION, CRD 29604

LOS ANGELES, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:5e868f27-c73f-6b57-d4b3-92cc71b69580

Data as of Jun 13, 2018 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:24 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BROOKE (HOLDCO1) INC.

Shareholder

yes

04/2006

Mar 30, 2012

Jun 13, 2018

COLEMAN, CAREN LESLIE

VICE PRESIDENT

yes

01/2010

Mar 30, 2012

Jun 13, 2018

COLLINS, MAURA KATHRYN

SVP/CFO- NATIONAL PLANNING HOLDINGS

yes

10/2015

Mar 30, 2012

Jun 13, 2018

DOWDEN, STEVEN HOWARD

PRESIDENT AND CEO OF NATIONAL PLANNING HOLDINGS, INC.; DIRECTOR

yes

02/2018

Dec 9, 2015

Jun 13, 2018

GUNDERSON, GERRY A

NPH GENERAL COUNSEL AND SVP OF REGULATORY AFFAIRS

yes

05/2013

Mar 30, 2012

Jun 13, 2018

HARRIS, BRADLEY OLAN

Director

yes

02/2017

Aug 8, 2017

Jun 13, 2018

JACKSON HOLDINGS LLC

Shareholder

yes

04/2006

Mar 29, 2018

Jun 13, 2018

JOHNSON, JOHN CHARLES

PRESIDENT/CEO/DIRECTOR

yes

01/2013

Mar 30, 2012

Jun 13, 2018

LAMBRECHTS, VANESSA MARIE RODRIGUEZ

VP/FINOP CONTROLLER

yes

04/2013

Mar 30, 2012

Jun 13, 2018

MARTINEZ, WENDY TAMIE

SVP OPERATIONS

yes

01/2012

Mar 30, 2012

Jun 13, 2018

MCCALLOP, PATRICIA ANN

NPH AND NPC SVP CHIEF COMPLIANCE OFFICER

yes

06/2015

Jul 15, 2015

Jun 13, 2018

MILLER, JAMES PETER

NPH SVP, OPERATIONS

yes

02/2007

Mar 30, 2012

Jun 13, 2018

NATIONAL PLANNING HOLDINGS, INC.

Shareholder

yes

07/1998

Mar 30, 2012

Jun 13, 2018

PRUDENTIAL (US HOLDCO1)

Shareholder

yes

04/2006

Jan 14, 2016

Jun 13, 2018

PRUDENTIAL PLC

Shareholder

yes

08/2004

Mar 30, 2012

Jun 13, 2018

STONE, JEREMY MICHAEL

VICE PRESIDENT COMPLIANCE

yes

12/2015

Aug 8, 2017

Jun 13, 2018

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

JACKSON NATIONAL ASSET MANAGEMENT, LLC

n/a

Asset manager

$246B

yes

n/a

PPM AMERICA, INC.

n/a

Institutional manager

$94B

yes

n/a

FIRST DAKOTA, INC.

n/a

yes

n/a

IFC HOLDINGS, INC.

n/a

Former SEC adviser

n/a

yes

n/a

INVEST FINANCIAL CORPORATION INSURANCE AGENCY INC. OF DELAWARE

n/a

yes

n/a

INVEST FINANCIAL CORPORATION INSURANCE AGENCY INC. OF ILLINOIS

n/a

yes

n/a

INVESTMENT CENTERS OF AMERICA, INC.

n/a

Former SEC adviser

n/a

yes

n/a

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

n/a

yes

n/a

JACKSON NATIONAL LIFE INSURANCE COMPANY

n/a

yes

n/a

JACKSON NATIONAL LIFE INSURANCE COMPANY OF NEW YORK

n/a

yes

n/a

SII INVESTMENTS, INC.

n/a

Former SEC adviser

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2017

Mar 29, 2018

n/a

2016

Mar 31, 2017

$7.4B

$6.3B

1,725

1,151

n/a

2015

Mar 29, 2016

$7.8B

$4.8B

1,780

1,110

n/a

2014

Mar 31, 2015

$7.2B

$4.5B

1,800

1,070

n/a

2013

Mar 31, 2014

$6.1B

$3.6B

1,800

993

n/a

2012

Apr 1, 2013

$5.1B

$3.0B

1,806

1,077

n/a

2011

Mar 30, 2012

$4.2B

$2.3B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2017

n/a

$7.4B

n/a

$7.2B

n/a

1,725

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

ASSETMARK, INC.

Feb 13, 2018

May 4, 2022

LOS ANGELES, CA

Team lift out

Other

8.3%

CETERA ADVISOR NETWORKS LLC

Jan 2, 2018

Mar 23, 2018

EL SEGUNDO, CA

Team lift out

Other

5.3%

WESTERN INTERNATIONAL SECURITIES

Jan 2, 2018

Aug 19, 2019

EL SEGUNDO, CA

Team lift out

Other

5.3%

LPL FINANCIAL LLC

Jan 2, 2018

Apr 5, 2018

EL SEGUNDO, CA

Team lift out

Other

5.3%

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Jan 2, 2018

May 30, 2018

EL SEGUNDO, CA

Team lift out

Other

5.3%

FUTURE PLANNING SYSTEMS, INC.

Dec 5, 2017

Nov 28, 2011

LOS ANGELES, CA

Team lift out

Other

1.5%

LEXCO WEALTH MANAGEMENT, INC.

Dec 1, 2017

Jan 25, 2018

LOS ANGELES, CA

Team lift out

Other

1.9%

THE PLANNERS NETWORK, INC.

Nov 29, 2017

Jul 6, 2016

LOS ANGELES, CA

Team lift out

Other

0.7%

OSTROFE FINANCIAL CONSULTANTS INC

Nov 29, 2017

Jan 1, 2025

GRASS VALLEY, CA

Team lift out

Other

0.5%

LEELYN SMITH, LLC

Nov 29, 2017

Apr 7, 2021

OAK BROOK, IL

Team lift out

Other

0.5%

ROSENTHAL ADVISORY SERVICES, L.P.

Nov 29, 2017

Jul 11, 2017

IRVING, TX

Team lift out

Other

0.7%

LEWIS M. WALLENSKY ASSOCIATES

Nov 29, 2017

Jan 5, 2017

LOS ANGELES, CA

Team lift out

Other

0.5%

THE WEALTH CONSULTING GROUP

Nov 29, 2017

Jul 16, 2018

PALM DESERT, CA

Team lift out

Other

0.5%

TRILOGY CAPITAL, INC.

Nov 29, 2017

Dec 21, 2016

SCOTTSDALE, AZ

Team lift out

Other

0.7%

TRILOGY CAPITAL, INC.

Nov 29, 2017

Oct 27, 2017

LOS ANGELES, CA

Team lift out

Other

11.8%

TRILOGY CAPITAL, INC.

Nov 29, 2017

Dec 8, 2017

DENVER, CO

Team lift out

Other

1.7%

TRILOGY CAPITAL, INC.

Nov 29, 2017

Jul 5, 2016

WOBURN, MA

Team lift out

Other

0.7%

VALLEY WEALTH STRATEGIES

Nov 29, 2017

Nov 16, 2017

LOS ANGELES, CA

Team lift out

Other

3.4%

VALLEY WEALTH STRATEGIES, LLC

Nov 29, 2017

Jan 18, 2018

SANTA CRUZ, CA

Team lift out

Other

0.5%

GATEWAY WEALTH PARTNERS, LLC

Nov 29, 2017

Feb 18, 2026

LOS ANGELES, CA

Team lift out

Other

1.4%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

COMPASS POINT RETIREMENT PLANNING, INC.

Sep 7, 2023

Oct 3, 2007

WAKEFIELD, MA

Firm absorbed

Other

100.0%

INVEST FINANCIAL CORPORATION

Jun 25, 2018

Mar 27, 2018

APPLETON, WI

Channel change

Other

66.7%

BEACON FINANCIAL GROUP

Dec 31, 2016

Nov 28, 2006

WARREN, NJ

Team lift out

Other

100.0%

FINANCIAL FOCUS

Sep 22, 2016

Jun 13, 2000

CARLSBAD, CA

Team lift out

Other

100.0%

VSR ADVISORY SERVICES

Aug 11, 2016

Aug 10, 2016

HUTCHINSON, KS

Team lift out

Other

1.6%

HARBOUR INVESTMENTS, INC.

Jul 18, 2016

BLOOMINGTON, MN

Team lift out

Other

3.8%

WADDELL & REED

May 19, 2016

Jan 9, 2017

OVERLAND PARK, KS

Team lift out

Other

0.1%

VOYA FINANCIAL ADVISORS, INC.

Apr 22, 2016

Apr 21, 2016

EDINA, MN

Team lift out

Other

0.4%

CETERA ADVISORS LLC

Nov 10, 2015

Nov 9, 2015

ISELIN, NJ

Team lift out

Other

0.6%

FIRST ALLIED ADVISORY SERVICES, INC.

Oct 23, 2015

Oct 26, 2015

ORANGE, CA

Team lift out

Other

0.4%

TIMECAPITAL INVESTOR ADVISORY SERVICES INC

Jan 5, 2015

PORT JEFFERSON STATION, NY

Team lift out

Other

100.0%