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CRD 126665
WEST HARTFORD, CT
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| DECARLO, JAMES, EDWIN | CHIEF STRATEGIC GROWTH OFFICER | Na | yes | 11/2021 | Nov 22, 2021 | Feb 14, 2022 |
| DEL PRIORE, MICHAEL, J | CHIEF COMPLIANCE OFFICER | Na | yes | 11/2021 | Nov 22, 2021 | Feb 14, 2022 |
| KILLE, BENJAMIN, DAVID | MANAGING DIRECTOR | Na | yes | 03/2003 | Nov 16, 2011 | Feb 14, 2022 |
| LAMENA, MICHAEL, ANTHONY | CHIEF EXECUTIVE OFFICER | Na | yes | 11/2021 | Nov 22, 2021 | Feb 14, 2022 |
| LIESER, LORI, MICHELL | VICE PRESIDENT | Na | yes | 11/2021 | Nov 22, 2021 | Feb 14, 2022 |
| MADISON DEARBORN PARTNERS | GENERAL PARTNER | F | yes | 04/2021 | Nov 22, 2021 | Feb 14, 2022 |
| MOO, VERONICA, EI CHUN | Director | Na | yes | 11/2021 | Nov 22, 2021 | Feb 14, 2022 |
| MORIARTY, MICHAEL, JOSEPH | CHIEF INVESTMENT OFFICER | Na | yes | 11/2021 | Nov 22, 2021 | Feb 14, 2022 |
| NFP CORP. | Owner | E | yes | 11/2017 | Nov 22, 2021 | Feb 14, 2022 |
| NFP HOLDINGS, LLC | Owner | E | yes | 07/2013 | Nov 22, 2021 | Feb 14, 2022 |
| NFP INTERMEDIATE HOLDINGS A. CORP. | Owner | E | yes | 07/2013 | Nov 22, 2021 | Feb 14, 2022 |
| NFP INTERMEDIATE HOLDINGS B. CORP. | Owner | E | yes | 07/2013 | Nov 22, 2021 | Feb 14, 2022 |
| NFP PARENT CO, LLC | Owner | E | yes | 10/2014 | Nov 22, 2021 | Feb 14, 2022 |
| NFP ULTIMATE HOLDINGS, LLC | Owner | E | yes | 02/2017 | Nov 22, 2021 | Feb 14, 2022 |
| O'MALLEY, EDWARD, GEORGE | Director | Na | yes | 11/2021 | Nov 22, 2021 | Feb 14, 2022 |
| PATRIOT SPV GP, L.P. | GENERAL PARTNER | F | yes | 03/2021 | Nov 22, 2021 | Feb 14, 2022 |
| PATRIOT SPV, L.P. | Owner | C | yes | 03/2021 | Nov 22, 2021 | Feb 14, 2022 |
| POWERS, BRIAN, DAVID | CHIEF FINANCIAL OFFICER | Na | yes | 11/2021 | Nov 22, 2021 | Feb 14, 2022 |
| SCHNEIDER, BRETT, RONALD | Director | Na | yes | 11/2021 | Nov 22, 2021 | Feb 14, 2022 |
| SONTAG, ERIC, MATTHEW | PRESIDENT & CHIEF OPERATIONS OFFICER | Na | yes | 11/2021 | Nov 22, 2021 | Feb 14, 2022 |
| SONTAG, HOWARD, VAUGHN | SR. MANAGING DIRECTOR | Na | yes | 11/2021 | Nov 22, 2021 | Feb 14, 2022 |
| STASTNEY, HOYT, RONALD | CHIEF LEGAL OFFICER | Na | yes | 11/2021 | Nov 22, 2021 | Feb 14, 2022 |
| WEALTHSPIRE ADVISORS | Owner | E | yes | 11/2021 | Nov 22, 2021 | Feb 14, 2022 |
| WEALTHSPIRE HOLDINGS, LLC | Member | E | yes | 11/2017 | Nov 22, 2021 | Feb 14, 2022 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| FIDUCIENT ADVISORS LLC | n/a | Mixed wealth | $98B | N | yes | n/a |
| NFP RETIREMENT INC. | n/a | Institutional manager | $39B | N | yes | n/a |
| WEALTHSPIRE ADVISORS LLC | n/a | Independent wealth | $34B | Y | yes | n/a |
| LENOX WEALTH ADVISORS, LLC | n/a | Former SEC adviser | $2.1B | N | yes | n/a |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2021 | Feb 14, 2022 | $1.0B | $1.0B | 10 | 4 | 0 | n/a | n/a |
| 2020 | Mar 29, 2021 | $1.2B | $1.2B | 10 | 4 | 0 | n/a | n/a |
| 2019 | Mar 30, 2020 | $1.1B | $1.1B | 14 | 8 | 0 | n/a | n/a |
| 2018 | Mar 13, 2019 | $1.1B | $1.1B | 10 | 10 | 1 | n/a | n/a |
| 2017 | Mar 29, 2018 | $1.0B | $1.0B | 10 | 10 | 1 | n/a | n/a |
| 2016 | Mar 23, 2017 | $649M | $649M | 7 | 5 | n/a | n/a | n/a |
| 2015 | Mar 29, 2016 | $579M | $579M | 9 | 8 | n/a | n/a | n/a |
| 2014 | Mar 12, 2015 | $613M | $613M | 9 | 8 | n/a | n/a | n/a |
| 2013 | Jan 20, 2014 | $490M | $475M | 9 | 8 | n/a | n/a | n/a |
| 2012 | Mar 11, 2013 | $376M | $365M | 7 | 5 | n/a | n/a | n/a |
| 2011 | Mar 23, 2012 | $300M | $290M | 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 |
|---|---|---|---|---|---|---|---|---|---|
| 2021 | $1.0B | $1.2B | -17.2% | $1.1B | -2.7% | 10 | 10 | 0 | 0 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| WEALTHSPIRE ADVISORS | 3 | Oct 26, 2022 | Sep 20, 2022 | WEST HARTFORD, CT | Firm absorbed | RIA to RIA | 60.0% |
| PRIVATE ADVISOR GROUP, LLC | 2 | Feb 17, 2021 | Feb 12, 2021 | WEST HARTFORD, CT | Team lift out | RIA to ibd | 40.0% |
| PRIVATE ADVISOR GROUP, LLC | 2 | Nov 29, 2019 | Dec 16, 2019 | WEST HARTFORD, CT | Team lift out | RIA to RIA | 25.0% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| OSAIC FA, INC. | 2 | Nov 15, 2017 | Oct 31, 2017 | HARTFORD, CT | Team lift out | Other | 0.2% |