DFX Intelligence
Reading the graph
Reading the graph
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
CRD 16443
APPLETON, WI
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 |
|---|---|---|---|---|---|---|
| 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 |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2017 |
| 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 | $3.5B | n/a | $2.6B | n/a | 2 | 499 | 0 | n/a |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| I••••• F•••••••• C••••••••• | 2 | Jun 25, 2018 | Mar 27, 2018 | APPLETON, WI | Channel change | Other | 40.0% |
| S••••••••• A•••••• A•••••••• I••• | 2 | Apr 24, 2018 | Jul 9, 2018 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| S•• I••••••••• I••• | 3 | Jun 25, 2018 | Feb 3, 2016 | APPLETON, WI | Firm absorbed | Other | 60.0% |
| S•• I••••••••• I••• | 7 | Apr 23, 2018 | Jun 26, 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 COUNSEL & SVP 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 |
| I••••• F•••••••• C••••••••• | DIRECT OWNER | E | yes | 07/1996 | Mar 30, 2012 | Jun 13, 2018 |
| J•••••• H••••••• L•• | Shareholder | E | yes | 09/2017 | Mar 29, 2018 | Jun 13, 2018 |
| K••••••••• D••• M•••• | SVP/COO | Na | yes | 11/2004 | Mar 30, 2012 | Jun 13, 2018 |
| K••••••••• J•••• A•••••• | PRESIDENT/CEO/DIRECTOR | Na | yes | 05/2016 | Jun 7, 2016 | 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 | 04/2006 | Mar 30, 2012 | Jun 13, 2018 |
| P••••••••• •• H••••••• | Shareholder | E | yes | 05/2011 | Jan 27, 2016 | Jun 13, 2018 |
| P••••••••• P••• | Shareholder | E | yes | 08/2004 | Mar 30, 2012 | Jun 13, 2018 |
| M•••••••• P••••••• A•• | NPH AND ICA 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 | Y | 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 |
| 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 |
| S•• I••••••••• I••• | n/a | Former SEC adviser | n/a | N | yes | n/a |
| n/a |
| n/a |
| 2 |
| 1 |
| 0 |
| n/a |
| n/a |
| 2016 | Mar 31, 2017 | $3.5B | $3.0B | 499 | 353 | n/a | n/a | n/a |
| 2015 | Mar 30, 2016 | $3.1B | $2.3B | 497 | 340 | n/a | n/a | n/a |
| 2014 | Mar 31, 2015 | $2.6B | $1.9B | 497 | 329 | n/a | n/a | n/a |
| 2013 | Mar 31, 2014 | $2.1B | $1.9B | 463 | 319 | n/a | n/a | n/a |
| 2012 | Apr 1, 2013 | $1.5B | $1.3B | 437 | 302 | n/a | n/a | n/a |
| 2011 | Mar 30, 2012 | $1.2B | $766M | n/a | n/a | n/a | n/a | n/a |
| APPLETON, WI |
| Team lift out |
| Other |
| 14.3% |
| S•• I••••••••• I••• | 2 | Apr 24, 2018 | Feb 23, 2016 | APPLETON, WI | Channel change | Other | 14.3% |
| R•••••• J•••• • A••••••••• I••• | 2 | Apr 24, 2018 | May 21, 2018 | APPLETON, WI | Team lift out | Other | 14.3% |
| R•••••• J•••• F•••••••• S••••••• A•••••••• I•• | 2 | Feb 20, 2018 | Mar 9, 2018 | APPLETON, WI | Team lift out | Other | 7.4% |
| S•• I••••••••• I••• | 2 | Feb 20, 2018 | Apr 5, 2017 | APPLETON, WI | Channel change | Other | 7.4% |
| I•• G•••• W••••• M••••••••• L•• | 3 | Dec 5, 2017 | Feb 17, 2022 | APPLETON, WI | Team lift out | Other | 3.0% |
| N•••••• A••••••• | 3 | Nov 29, 2017 | Oct 6, 2021 | CHASKA, MN | Team lift out | Other | 1.2% |
| N•••••• A••••••• | 7 | Nov 29, 2017 | Jan 1, 2025 | BISMARCK, ND | Team lift out | Other | 2.7% |
| N•••••• A••••••• | 2 | Nov 29, 2017 | Mar 18, 2020 | ABERDEEN, SD | Team lift out | Other | 0.8% |
| N•••••• A••••••• | 14 | Nov 29, 2017 | Mar 12, 2019 | APPLETON, WI | Team lift out | Other | 5.4% |
| D••••••• W••••• M••••••••• L•• | 2 | Nov 29, 2017 | May 9, 2023 | T•••••, TX | Team lift out | Other | 0.8% |
| I•• G•••• W••••• M••••••••• L•• | 2 | Nov 29, 2017 | Mar 30, 2022 | FORT C••••••, CO | Team lift out | Other | 0.8% |
| I•• G•••• W••••• M••••••••• L•• | 2 | Nov 29, 2017 | Jul 21, 2021 | COMANCHE, TX | Team lift out | Other | 0.8% |
| C••••• I••••••••• A••••••• L•• | 3 | Nov 6, 2017 | Nov 17, 2017 | CROSS LANES, WV | Team lift out | Other | 1.1% |
| R•••••• J•••• F•••••••• S••••••• A•••••••• I•• | 4 | Nov 2, 2017 | Nov 3, 2017 | PRATHER, CA | Team lift out | Other | 1.4% |
| C••••••••• F•••••••• N•••••• | 2 | Nov 2, 2017 | Nov 2, 2017 | ROCHELLE, IL | Team lift out | Other | 0.7% |
| S••••••••• A•••••• A•••••••• I••• | 2 | Oct 23, 2017 | Oct 24, 2017 | MILES CITY, MT | Team lift out | Other | 0.7% |
| C•••••••• I••••••••• R••••••• A•••••••• I••• | 3 | Oct 19, 2017 | Nov 1, 2017 | BISMARCK, ND | Team lift out | Other | 1.0% |
| C•••••••• I••••••••• R••••••• A•••••••• I••• | 2 | Oct 18, 2017 | Oct 30, 2017 | SCOTTSDALE, AZ | Team lift out | Other | 0.7% |
| APPLETON, WI |
| Channel change |
| Other |
| 46.7% |
| S•• I••••••••• I••• | 4 | Mar 19, 2018 | May 4, 2016 | APPLETON, WI | Channel change | Other | 19.0% |
| S•• I••••••••• I••• | 4 | Feb 20, 2018 | Feb 8, 2016 | APPLETON, WI | Channel change | Other | 14.3% |
| S•• I••••••••• I••• | 5 | Oct 31, 2017 | May 6, 2015 | APPLETON, WI | Channel change | Other | 1.4% |
| S•• | 2 | Jul 31, 2017 | Aug 1, 2017 | ANN ARBOR, MI | Team lift out | Other | 0.4% |
| W••••••• F•••••••• S•••••••• I••• | 3 | Jun 5, 2017 | Jun 8, 2017 | CHARLESTON, WV | Team lift out | Other | 0.4% |
| L•• F•••••••• L•• | 2 | Feb 24, 2017 | Feb 17, 2017 | ROANOKE, VA | Team lift out | Other | 0.0% |
| S••••••••• A•••••• A•••••••• I••• | 4 | Dec 1, 2015 | Dec 7, 2015 | FARGO, ND | Team lift out | Other | 0.4% |
| S••• I••••••••• C•••••• | 2 | Sep 1, 2015 | Sep 9, 2015 | SEARCY, AR | Team lift out | Other | 6.7% |
| S••••••• F•••••••• S•••••••• I••• | 2 | Apr 30, 2015 | Apr 30, 2015 | MANHATTAN, MT | Team lift out | Other | 5.6% |