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CRD 2225
APPLETON, WI
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 |
|---|---|---|---|---|---|---|
| B••••• ••••••••• I••• | Shareholder | E | yes | 09/2017 | Mar 30, 2012 | Jun 13, 2018 |
| C••••••• C•••• L••••• | VP, NPH PRODUCT AND SPONSOR RELATIONS | Na | yes | 01/2010 | Mar 31, 2014 | Jun 13, 2018 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| J•••••• N••••••• A•••• M••••••••• L•• | n/a | Asset manager | $246B | N | yes | n/a |
| P•• A••••••• I••• | n/a | Institutional manager | $94B | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| CROWN POINT | In | United States | 14 | yes |
| Buffalo | NY | United States | 10 | yes |
| Coralville | Ia | United States | 7 | yes |
| Madison | Wi | United States | 7 | yes |
| LAKE OSWEGO | Or | United States |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2017 | Mar 29, 2018 |
| 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 | $4.3B | n/a | $4.0B | n/a | 81 | 747 | 107 | n/a |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| I••••••••• C•••••• O• A••••••• I••• | 3 | Jun 25, 2018 | Feb 3, 2016 | APPLETON, WI | Firm absorbed | Other | 60.0% |
| I••••••••• C•••••• O• A••••••• I••• | 7 | Apr 23, 2018 | Jun 26, 2017 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| I••••••••• C•••••• O• A••••••• I••• | 2 | Apr 24, 2018 | Feb 23, 2016 | APPLETON, WI | Channel change | Other | 14.3% |
| I••••••••• C•••••• O• A••••••• I••• | 2 | Feb 20, 2018 | Apr 5, 2017 |
| SVP/CFO N••••••• P••••••• H••••••• |
| Na |
| yes |
| 03/2004 |
| Mar 30, 2012 |
| Jun 13, 2018 |
| D•••••• S••••• H••••• | PRESIDENT AND CEO OF NPH | Na | yes | 02/2018 | Dec 1, 2015 | Jun 13, 2018 |
| G••••••••• G•••• A• | NPH GENERAL C•••••• & SVP OF REGULATORY AFFAIRS | Na | yes | 07/2006 | Mar 30, 2012 | Jun 13, 2018 |
| H•••••• B•••••• O••• | Director | Na | yes | 02/2017 | Mar 31, 2017 | Jun 13, 2018 |
| J•••••• H••••••• L•• | Shareholder | E | yes | 09/2017 | Dec 13, 2017 | Jun 13, 2018 |
| K••••••••• D••• M•••• | SVP, COO | Na | yes | 11/2004 | Mar 30, 2012 | Jun 13, 2018 |
| K•••••• T••• M•••••• | SII PRESIDENT & CEO/DIRECTOR | Na | yes | 02/2007 | Mar 30, 2012 | Jun 13, 2018 |
| L••••••••• V•••••• M•••• R•••••••• | VP, FINOP & CONTROLLER | Na | yes | 04/2013 | Mar 31, 2014 | Jun 13, 2018 |
| M•••••• J•••• P•••• | NPH SVP OPERATIONS | Na | yes | 02/2007 | Mar 30, 2012 | Jun 13, 2018 |
| N••••••• P••••••• H•••••••• I•• | Shareholder | E | yes | 09/2000 | Mar 30, 2012 | Jun 13, 2018 |
| P••••••••• •• H••••••• | Shareholder | E | yes | 05/2011 | Jan 26, 2016 | Jun 13, 2018 |
| P••••••••• P••• | Shareholder | E | yes | 08/2004 | Apr 1, 2013 | Jun 13, 2018 |
| M•••••••• P••••••• A•• | NPH AND SII SVP & CHIEF COMPLIANCE OFFICER | Na | no | 06/2018 | Jun 13, 2018 | Jun 13, 2018 |
| F•••• D•••••• I•• | n/a | n/a | n/a | N | yes | n/a |
| I•• H•••••••• I••• | n/a | Former SEC adviser | n/a | N | yes | n/a |
| I••••• F•••••••• C••••••••• I•••••••• A••••• I••• O• D••••••• | n/a | n/a | n/a | N | yes | n/a |
| I••••• F•••••••• C••••••••• I•••••••• A••••• I••• O• I••••••• | n/a | n/a | n/a | N | yes | n/a |
| I••••••••• C•••••• O• A••••••• I••• | n/a | Former SEC adviser | n/a | N | yes | n/a |
| J•••••• N••••••• L••• D••••••••• L•• | n/a | n/a | n/a | N | yes | n/a |
| J•••••• N••••••• L••• I•••••••• C•••••• | n/a | n/a | n/a | N | yes | n/a |
| J•••••• N••••••• L••• I•••••••• C•••••• O• N•• Y••• | n/a | n/a | n/a | N | yes | n/a |
| N••••••• P••••••• C••••••••• | n/a | Former SEC adviser | n/a | N | yes | n/a |
| yes |
| Denver | Co | United States | 5 | yes |
| THE VILLAGES | FL | United States | 5 | yes |
| Parma | Oh | United States | 5 | yes |
| GREEN BAY | Wi | United States | 5 | yes |
| NEW BEDFORD | Ma | United States | 4 | yes |
| FAIRVIEW PARK | Oh | United States | 4 | yes |
| LONG BEACH | CA | United States | 3 | yes |
| FORT C•••••• | Co | United States | 3 | yes |
| Belleville | IL | United States | 3 | yes |
| EDEN PRAIRIE | Mn | United States | 3 | yes |
| GRAND RAPIDS | Mn | United States | 3 | yes |
| NEW Y••• | NY | United States | 3 | yes |
| WILLOUGHBY HILLS | Oh | United States | 3 | yes |
| OREGON CITY | Or | United States | 3 | yes |
| Menasha | Wi | United States | 3 | yes |
| n/a | n/a | n/a | 3 | yes |
| Auburn | In | United States | 2 | yes |
| Bloomington | Mn | United States | 2 | yes |
| ELM GROVE | Wi | United States | 2 | yes |
| MENOMONEE FALLS | Wi | United States | 2 | yes |
| n/a |
| n/a |
| 81 |
| 23 |
| 107 |
| n/a |
| n/a |
| 2016 | Mar 31, 2017 | $4.3B | $4.1B | 747 | 445 | n/a | n/a | n/a |
| 2015 | Mar 30, 2016 | $4.2B | $3.1B | 739 | 471 | n/a | n/a | n/a |
| 2014 | Mar 31, 2015 | $4.0B | $3.1B | 763 | 453 | n/a | n/a | n/a |
| 2013 | Mar 31, 2014 | $3.3B | $2.8B | 786 | 461 | n/a | n/a | n/a |
| 2012 | Apr 1, 2013 | $2.5B | $2.2B | 778 | 443 | n/a | n/a | n/a |
| 2011 | Mar 30, 2012 | $2.0B | $1.8B | n/a | n/a | n/a | n/a | n/a |
| APPLETON, WI |
| Channel change |
| Other |
| 46.7% |
| I••••••••• C•••••• O• A••••••• I••• | 4 | Mar 19, 2018 | May 4, 2016 | APPLETON, WI | Channel change | Other | 19.0% |
| I••••••••• C•••••• O• A••••••• I••• | 4 | Feb 20, 2018 | Feb 8, 2016 | APPLETON, WI | Channel change | Other | 14.3% |
| S••••••• I••••••••• C••••••• L•• | 4 | Feb 15, 2018 | Jun 13, 2016 | APPLETON, WI | Team lift out | Other | 4.6% |
| T••••••• F•••••••• L••• | 4 | Feb 14, 2018 | Dec 7, 2017 | PARMA, OH | Team lift out | Ibd to state RIA | 2.2% |
| T••••••• F•••••••• L••• | 5 | Feb 14, 2018 | Dec 7, 2017 | APPLETON, WI | Team lift out | Ibd to state RIA | 2.8% |
| G•••••• W••••• P•••••••• L•• | 2 | Feb 14, 2018 | Jun 2, 2025 | GREEN BAY, WI | Team lift out | Ibd to new firm | 1.1% |
| W••••• A••••••• G••••• L•• | 2 | Jan 12, 2018 | Jan 18, 2018 | CORALVILLE, IA | Team lift out | Ibd to new firm | 1.1% |
| K••••• A••••••• S•••••••• L•• | 2 | Jan 3, 2018 | Jan 3, 2018 | WEST LAKE HILLS, TX | Team lift out | Other | 1.1% |
| W••••••• F•••••••• S•••••••• I••• | 3 | Jan 2, 2018 | Jan 12, 2018 | WAUKESHA, WI | Team lift out | Ibd to ibd | 1.6% |
| S••••••••• C•••••• M••••••••• | 2 | Dec 31, 2017 | Aug 28, 2018 | ANNAPOLIS, MD | Team lift out | Other | 0.9% |
| N•••••• W••••• M••••••••• | 15 | Dec 31, 2017 | Sep 24, 2018 | GREEN BAY, WI | Team lift out | Other | 6.8% |
| W••••••• F•••••••• S•••••••• I••• | 3 | Dec 31, 2017 | Jan 8, 2018 | MORTON, IL | Team lift out | Ibd to ibd | 1.4% |
| K••••• A•••••••• I••• | 3 | Dec 21, 2017 | Jan 12, 2018 | WATERFORD, CT | Team lift out | Other | 1.3% |
| F•••• N•••• W••••• | 3 | Dec 19, 2017 | Dec 20, 2017 | CENTENNIAL, CO | Team lift out | Ibd to new firm | 1.3% |
| C••••••••• F•••••••• N•••••• | 3 | Dec 19, 2017 | Dec 19, 2017 | APPLETON, WI | Team lift out | Ibd to ibd | 1.3% |
| W••••••• F•••••••• S•••••••• I••• | 3 | Dec 11, 2017 | Dec 18, 2017 | GREEN BAY, WI | Team lift out | Other | 1.3% |
| O•••• F•• I••• | 2 | Dec 8, 2017 | Jan 9, 2018 | WILLIAMSVILLE, NY | Team lift out | Other | 0.8% |
| L•• F•••••••• L•• | 3 | Dec 8, 2017 | Dec 12, 2017 | JUPITER, FL | Team lift out | Other | 1.2% |
| APPLETON, WI |
| Channel change |
| Other |
| 7.4% |
| A•••••• A•••• M••••••••• L•• | 2 | Sep 26, 2016 | Jun 3, 2016 | STURGEON BAY, WI | Team lift out | Other | 100.0% |
| P••••••••• B•••••••• S•••••••• I••• | 2 | Aug 16, 2016 | Aug 3, 2016 | MENASHA, WI | Team lift out | Other | 2.7% |
| S•••••••• F••••••••• I••• | 2 | Aug 15, 2016 | Aug 11, 2016 | PORTLAND, OR | Team lift out | Other | 0.3% |
| L•• F•••••••• L•• | 3 | Jun 15, 2016 | Jun 1, 2016 | SISTER BAY, WI | Team lift out | Other | 0.0% |
| F•• S••••••••• C••••••••• | 3 | Jun 9, 2016 | Jun 6, 2016 | GREENVILLE, WI | Team lift out | Other | 0.5% |
| I••••• F•••••••• C••••••••• | 3 | May 19, 2016 | May 18, 2016 | RHINELANDER, WI | Channel change | Other | 0.5% |
| L•• F•••••••• L•• | 2 | Apr 29, 2016 | Apr 18, 2016 | OREGON CITY, OR | Team lift out | Other | 0.0% |
| S•••••••• F••••••••• I••• | 2 | Sep 16, 2015 | Feb 10, 2016 | CLINTON TWP, MI | Team lift out | Other | 0.3% |