DFX Intelligence

Data Factory

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 10b 100b

NFP ADVISOR SERVICES, LLC

CRD 42046

AUSTIN, TX

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:a547f03b-bcd3-edfd-5743-36faf5a490cc

Data as of Jul 27, 2016 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:40 AM UTC and rebuilt at most every 15 minutes.

Relationships: 987
Dated events: 1
On other graphs: 2
Observed: Mar 30, 2012 to Jul 27, 2016
19 observations

Across DFX

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

Private Equityidentity

Kestra Investment Services, LLC

Intermediary · shared crd

Venture Capitalidentity

NFP Securities, Inc.

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
Regulatory AUM: $12BItem 5.F on the latest filing (2016-07-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $7.7B
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 1,159
Advisory employees: 1,159
Accounts: 54,412
Custody, client assets: $40.1M
SEC number: 801-
CRD: 42046
Filings on the tape: 19
First filed: Mar 30, 2012
Latest filed: Jul 27, 2016
Organised: Limited Liability Company, Texas

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
GROSVENOR, MARK D	SVP, TECHNOLOGY	Na	yes	01/2006	Mar 30, 2012	Jul 27, 2016
LECLAIR, KRISTEN SANDERS	SVP, ADVISORY & INVESTMENT SERVICES	Na	yes	12/2010	Mar 30, 2012	Jul 27, 2016
MADISON DEARBORN CAPITAL PARTNERS VI-A, L.P.	Owner	E	yes	07/2013	Mar 3, 2014	Jul 27, 2016
MADISON DEARBORN PARTNERS	MANAGING MEMBER	F	yes	07/2013	Mar 3, 2014	Jul 27, 2016
MADISON DEARBORN PARTNERS VI-A&C, L.P.	MANAGER AND GP OF OTHER MANAGERS	F	yes	07/2013	Mar 3, 2014	Jul 27, 2016
NFP ADVISOR SERVICES HOLDINGS A, INC	Owner	E	yes	10/2014	Sep 30, 2014	Jul 27, 2016
NFP ADVISOR SERVICES HOLDINGS B, INC	Owner	E	yes	10/2014	Sep 30, 2014	Jul 27, 2016
NFP ADVISOR SERVICES HOLDINGS C, INC	Owner	E	yes	10/2014	Sep 30, 2014	Jul 27, 2016
NFP ADVISOR SERVICES HOLDINGS D, INC	SOLE MEMBER	E	yes	10/2014	Sep 30, 2014	Jul 27, 2016
NFP HOLDINGS, LLC	Owner	E	yes	10/2014	Sep 30, 2014	Jul 27, 2016
NFP PARENT CO, LLC	Owner	E	yes	10/2014	Sep 30, 2014	Jul 27, 2016
PEDLOW, MICHAEL ROSS	SVP, CHIEF COMPLIANCE OFFICER	Na	yes	04/2015	Mar 30, 2012	Jul 27, 2016
POER, JAMES LYNN	President	Na	yes	07/2008	Mar 30, 2012	Jul 27, 2016
VANDERHEYDEN, JOHN PATRICK	EVP, CHIEF OPERATING OFFICER	Na	yes	01/2009	Mar 30, 2012	Jul 27, 2016
YIN, YIN	Controller	Na	no	09/2007	Mar 30, 2012	Jul 27, 2016

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
DIMEO SCHNEIDER & ASSOCIATES LLC	n/a	Mixed wealth	$98B	N	yes	n/a
NFP RETIREMENT INC.	n/a	Institutional manager	$39B	N	yes	n/a
KESTRA PRIVATE WEALTH SERVICES, LLC	n/a	Bd affiliated wealth	$13B	N	yes	n/a
FLEXPATH STRATEGIES LLC	n/a	Other adviser	$2.9B	N	yes	n/a
PROVISE MANAGEMENT GROUP, LLC	n/a	Independent wealth	$2.0B	N	yes	n/a
NFP CORPORATE SERVICES (MN), INC.	n/a	Former SEC adviser	$1.4B	N	yes	n/a
BEACON RETIREMENT PLANNING SERVICES INC.	n/a	Independent wealth	$1.3B	N	yes	n/a
P&A CAPITAL ADVISORS, INC.	n/a	Asset manager	$126M	N	yes	n/a
KESTRA INSTITUTIONAL SERVICES, LLC	n/a	No RAUM reported	$0	N	yes	n/a
NFP INSURANCE SERVICES, INC.	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Bethesda	Md	United States	n/a	no
Timonium	Md	United States	n/a	no
Excelsior	Mn	United States	n/a	no
NEW YORK	NY	United States	n/a	no
Houston	TX	United States	n/a	no

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
2015	Mar 7, 2016	$12B	$7.7B	1,159	1,159	n/a	n/a	n/a
2014	Mar 31, 2015	$12B	$6.8B	957	957	n/a	n/a	n/a
2013	Mar 3, 2014	$11B	$5.7B	890	890	n/a	n/a	n/a
2012	Apr 1, 2013	$9.1B	$4.7B	860	860	n/a	n/a	n/a
2011	Mar 30, 2012	$8.0B	$3.9B	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
2015	$12B	$12B	3.0%	$9.1B	10.3%	1,159	957	n/a	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

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
KESTRA ADVISORY SERVICES, LLC	2	May 25, 2016	May 25, 2016	DOTHAN, AL	Team lift out	Other	0.5%
KESTRA ADVISORY SERVICES, LLC	4	May 9, 2016	May 9, 2016	RIDGELAND, MS	Team lift out	Other	1.0%
KESTRA ADVISORY SERVICES, LLC	6	May 9, 2016	May 23, 2016	AUSTIN, TX	Team lift out	Other	1.5%
KESTRA ADVISORY SERVICES, LLC	3	May 9, 2016	Apr 28, 2016	SOUTH JORDAN, UT	Team lift out	Other	0.7%
KESTRA ADVISORY SERVICES, LLC	3	Apr 28, 2016	Apr 28, 2016	SHOREWOOD, IL	Team lift out	Other	0.7%
ACUMEN WEALTH ADVISORS, LLC	2	Feb 8, 2016	Feb 8, 2016	CHATTANOOGA, TN	Team lift out	Other	0.5%
OSAIC WEALTH, INC.	5	Jan 27, 2016	Jan 25, 2016	PITTSBURGH, PA	Team lift out	Other	1.2%
INVEST FINANCIAL CORPORATION	2	Jan 22, 2016	Jan 15, 2016	PORT ST LUCIE, FL	Team lift out	Other	0.5%
INVESTACORP ADVISORY SERVICES INC	2	Dec 31, 2015	Jan 7, 2016	WESTPORT, CT	Team lift out	Other	0.5%
INVESTACORP ADVISORY SERVICES INC	2	Dec 31, 2015	Jan 27, 2016	ATLANTA, GA	Team lift out	Other	0.5%
INVESTACORP ADVISORY SERVICES INC	2	Dec 31, 2015	Feb 19, 2016	GREENSBORO, NC	Team lift out	Other	0.5%
COMMONWEALTH FINANCIAL NETWORK	2	Oct 22, 2015	Oct 23, 2015	SAN LUIS OBISPO, CA	Team lift out	Other	0.5%
COMMONWEALTH FINANCIAL NETWORK	3	Aug 21, 2015	Aug 21, 2015	ORLANDO, FL	Team lift out	Other	0.8%
FIRST ALLIED ADVISORY SERVICES, INC.	2	Jun 26, 2015	Jun 26, 2015	TROY, MI	Team lift out	Other	0.5%
IPS ADVISORS	2	Jan 2, 2015	Jan 6, 2015	DALLAS, TX	Team lift out	Other	0.5%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
WEALTHSPIRE RETIREMENT ADVISORY	6	Jul 18, 2016	Dec 15, 2015	ALISO VIEJO, CA	Team lift out	Other	16.2%
COMMONWEALTH FINANCIAL NETWORK	2	Feb 29, 2016	Feb 29, 2016	LA QUINTA, CA	Team lift out	Other	0.1%
WEALTHSPIRE RETIREMENT ADVISORY	3	Oct 2, 2015	Sep 1, 2015	ALISO VIEJO, CA	Team lift out	Other	7.1%
INVESTACORP ADVISORY SERVICES INC	3	Sep 8, 2015	Sep 17, 2015	ALPHARETTA, GA	Team lift out	Other	2.3%
STANCORP INVESTMENT ADVISERS, INC.	2	Aug 3, 2015	Aug 28, 2015	ORANGE, CA	Team lift out	Other	3.6%
LPL FINANCIAL LLC	3	Jun 4, 2015	May 29, 2015	ST PAUL, MN	Team lift out	Other	0.0%
PRIVATE ADVISOR GROUP, LLC	3	May 5, 2015	Apr 2, 2015	MORRISTOWN, NJ	Team lift out	Other	1.0%
INVEST FINANCIAL CORPORATION	4	Feb 3, 2015	Mar 23, 2015	GREENSBORO, NC	Team lift out	Other	0.7%

Relationships

showing 80 of 987

Affiliated with (29)

← HEDEKER WEALTH LLCRegistered adviserbroker-dealer, common control
factForm ADV
← KESTRA ADVISORY SERVICES, LLCRegistered adviserbroker-dealer, common control
factForm ADV
← KESTRA INVESTMENT MANAGEMENT, LLC.Registered adviserbroker-dealer, common control
factForm ADV
← PROVISE MANAGEMENT GROUP, LLCRegistered adviserbroker-dealer, common control
factForm ADV
← GOLDSTEIN ADVISORS, LLCRegistered adviserbroker-dealer, common control
factForm ADV
← KESTRA PRIVATE WEALTH SERVICES, LLCRegistered adviserbroker-dealer, common control
factForm ADV
← HUGHES FINANCIAL SERVICES, LLCRegistered adviserbroker-dealer, common control
factForm ADV
← BLUESPRING WEALTH MANAGEMENT, LLCRegistered adviserbroker-dealer, common control
factForm ADV
← KESTRA INSTITUTIONAL SERVICES, LLCRegistered adviserbroker-dealer, common control
factForm ADV
← CAPITAL PLANNING ADVISORS LLCRegistered adviserbroker-dealer, common control
factForm ADV
← BEDELL FRAZIER INVESTMENT COUNSELLING, LLC.Registered adviserbroker-dealer, common control
factForm ADV
← RODGERS & ASSOCIATESRegistered adviserbroker-dealer, common control
factForm ADV
← JOULE FINANCIAL, LLCRegistered adviserbroker-dealer, common control
factForm ADV
← RITTER DANIHER FINANCIAL ADVISORY LLCRegistered adviserbroker-dealer, common control
factForm ADV
← BEACON FINANCIAL GROUPRegistered adviserbroker-dealer, common control
factForm ADV
← HICKORY ASSET MANAGEMENT, INC.Registered adviserbroker-dealer, common control
factForm ADV
← RITTER DANIHER FINANCIAL ADVISORY LLCRegistered adviserbroker-dealer, common control
factForm ADV
← H. BECK, INC.Registered adviserbroker-dealer, common control
factForm ADV
→ PROVISE MANAGEMENT GROUP, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ FIDUCIENT ADVISORS LLCRegistered adviserother investment adviser, LP sponsor, common control
factForm ADV
→ BEACON FINANCIAL GROUPRegistered adviserother investment adviser, common control
factForm ADV
→ P&A CAPITAL ADVISORSRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ NFP CORPORATE SERVICES (MN), INC.Registered adviserother investment adviser, common control
factForm ADV
→ WEALTHSPIRE RETIREMENT ADVISORYRegistered adviserother investment adviser, LP sponsor, common control
factForm ADV
→ KESTRA INSTITUTIONAL SERVICES, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ KESTRA PRIVATE WEALTH SERVICES, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ FLEXPATH STRATEGIESRegistered adviserother investment adviser, common control
factForm ADV
← NFP CORPORATE SERVICES (MN), INC.Registered adviserother investment adviser, broker-dealer, common control
factForm ADV
← UA ADVISORY SERVICES, INC.Registered adviserother investment adviser, broker-dealer, common control
factForm ADV

Controls (14)

← MADISON DEARBORN PARTNERSOwnerMANAGING MEMBER, ownership code F, domestic entity
Mar 3, 2014 to presentfactForm ADV
← POER, JAMES LYNNOwnerPRESIDENT, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← VANDERHEYDEN, JOHN PATRICKOwnerEVP, CHIEF OPERATING OFFICER, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← LECLAIR, KRISTEN SANDERSOwnerSVP, ADVISORY & INVESTMENT SERVICES, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← PEDLOW, MICHAEL ROSSOwnerSVP, CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← GROSVENOR, MARK DOwnerSVP, TECHNOLOGY, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← MADISON DEARBORN CAPITAL PARTNERS VI-A, L.P.OwnerOWNER, ownership code E, domestic entity
Mar 3, 2014 to presentfactForm ADV
← MADISON DEARBORN PARTNERS VI-A&C, L.P.OwnerMANAGER AND GP OF OTHER MANAGERS, ownership code F, domestic entity
Mar 3, 2014 to presentfactForm ADV
← NFP ADVISOR SERVICES HOLDINGS A, INCOwnerOWNER, ownership code E, domestic entity
Sep 30, 2014 to presentfactForm ADV
← NFP ADVISOR SERVICES HOLDINGS B, INCOwnerOWNER, ownership code E, domestic entity
Sep 30, 2014 to presentfactForm ADV
← NFP ADVISOR SERVICES HOLDINGS C, INCOwnerOWNER, ownership code E, domestic entity
Sep 30, 2014 to presentfactForm ADV
← NFP ADVISOR SERVICES HOLDINGS D, INCOwnerSOLE MEMBER, ownership code E, domestic entity
Sep 30, 2014 to presentfactForm ADV
← NFP HOLDINGS, LLCOwnerOWNER, ownership code E, domestic entity
Sep 30, 2014 to presentfactForm ADV
← NFP PARENT CO, LLCOwnerOWNER, ownership code E, domestic entity
Sep 30, 2014 to presentfactForm ADV

Owns (1)

← YIN, YINOwnerCONTROLLER, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV

Registered with (36)

← ROBERT JORDAN KELLYAdvisorregistration: previous registration
Feb 28, 2007 to Sep 22, 2016factForm ADV
← DYANNE MICHELLE ROSS-HANSONAdvisorregistration: previous registration
Jul 1, 2014 to Sep 22, 2016factForm ADV
← PAUL HELMUT AUSLANDERAdvisorregistration: previous registration
Feb 25, 2014 to Sep 22, 2016factForm ADV
← CHARLES RICHARD BRANCHAdvisorregistration: previous registration
Apr 15, 2016 to Sep 22, 2016factForm ADV
← TODD SHEPPARD HEALYAdvisorregistration: previous registration
Mar 14, 2013 to Sep 22, 2016factForm ADV
← GREGORY ALLAN GAYNIERAdvisorregistration: previous registration
Oct 1, 2015 to Sep 22, 2016factForm ADV
← EDWIN LEE PETERSAdvisorregistration: previous registration
Apr 6, 2001 to Sep 22, 2016factForm ADV
← LEO ALAN GOTLEIBAdvisorregistration: previous registration
Feb 17, 2016 to Sep 22, 2016factForm ADV
← MELVIN LIONEL POPEAdvisorregistration: previous registration
May 8, 2007 to Sep 22, 2016factForm ADV
← MAURICE ANTHONY GELFOAdvisorregistration: previous registration
Jan 25, 2011 to Sep 22, 2016factForm ADV
← STEVEN A FISHMANAdvisorregistration: previous registration
Jun 25, 2002 to Sep 22, 2016factForm ADV
← JEFFREY SOLODKINAdvisorregistration: previous registration
Dec 24, 1997 to Sep 22, 2016factForm ADV
← DONALD JAMES PHILLIPSAdvisorregistration: previous registration
May 29, 2015 to Sep 22, 2016factForm ADV
← RICHARD JOHN BROCKAdvisorregistration: previous registration
Jan 16, 2009 to Sep 22, 2016factForm ADV
← RICHARD CRAIG CLOUSEAdvisorregistration: previous registration
Jun 6, 2003 to Sep 22, 2016factForm ADV
← LEE SCOTT RAWISZERAdvisorregistration: previous registration
May 2, 2003 to Sep 22, 2016factForm ADV
← DANIEL WILLIAM SOPHERAdvisorregistration: previous registration
Nov 25, 2003 to Sep 22, 2016factForm ADV
← AVIVA ESTHER SAPERSAdvisorregistration: previous registration
Apr 5, 2016 to Sep 22, 2016factForm ADV
← Philip John DettoreAdvisorregistration: previous registration
Dec 2, 2004 to Sep 22, 2016factForm ADV
← JILL KAY PENMANAdvisorregistration: previous registration
Oct 15, 2015 to Sep 22, 2016factForm ADV
← SAMUEL ABRAHAM EPSTEINAdvisorregistration: previous registration
May 21, 2015 to Sep 22, 2016factForm ADV
← BRIAN DEE HECKERTAdvisorregistration: previous registration
Jul 26, 2006 to Sep 22, 2016factForm ADV
← SEAN ANDREW KELLYAdvisorregistration: previous registration
Mar 19, 1999 to Sep 22, 2016factForm ADV
← MARIE SCHULZ MARKSAdvisorregistration: previous registration
Aug 27, 2014 to Sep 22, 2016factForm ADV
← TIMOTHY JOHN ELLSWORTHAdvisorregistration: previous registration
Mar 5, 2007 to Sep 22, 2016factForm ADV
← DAVID THOMAS HOOBANAdvisorregistration: previous registration
Nov 18, 2015 to Sep 22, 2016factForm ADV
← TIMOTHY CHARLES WITHERSAdvisorregistration: previous registration
Apr 5, 2016 to Sep 22, 2016factForm ADV
← SALLY BRANDT LIEBAdvisorregistration: previous registration
Feb 5, 2015 to Sep 22, 2016factForm ADV
← JOHN FRANCIS BUCKLEYAdvisorregistration: previous registration
Aug 6, 2014 to Sep 22, 2016factForm ADV
← Jo Ann Elisabeth FaviaAdvisorregistration: previous registration
Nov 5, 2008 to Sep 22, 2016factForm ADV
and 6 more

Dated events

Occurred
Sep 30, 2014
Succession filed (Item 4)
Nfp Advisor Services, Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 3 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a547f03b-bcd3-edfd-5743-36faf5a490cc
First observed: Mar 30, 2012
Last observed: Jul 27, 2016 123 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.

NFP ADVISOR SERVICES, LLC

CRD 42046

AUSTIN, TX

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:a547f03b-bcd3-edfd-5743-36faf5a490cc

Data as of Jul 27, 2016 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:40 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

GROSVENOR, MARK D

SVP, TECHNOLOGY

yes

01/2006

Mar 30, 2012

Jul 27, 2016

LECLAIR, KRISTEN SANDERS

SVP, ADVISORY & INVESTMENT SERVICES

yes

12/2010

Mar 30, 2012

Jul 27, 2016

MADISON DEARBORN CAPITAL PARTNERS VI-A, L.P.

Owner

yes

07/2013

Mar 3, 2014

Jul 27, 2016

MADISON DEARBORN PARTNERS

MANAGING MEMBER

yes

07/2013

Mar 3, 2014

Jul 27, 2016

MADISON DEARBORN PARTNERS VI-A&C, L.P.

MANAGER AND GP OF OTHER MANAGERS

yes

07/2013

Mar 3, 2014

Jul 27, 2016

NFP ADVISOR SERVICES HOLDINGS A, INC

Owner

yes

10/2014

Sep 30, 2014

Jul 27, 2016

NFP ADVISOR SERVICES HOLDINGS B, INC

Owner

yes

10/2014

Sep 30, 2014

Jul 27, 2016

NFP ADVISOR SERVICES HOLDINGS C, INC

Owner

yes

10/2014

Sep 30, 2014

Jul 27, 2016

NFP ADVISOR SERVICES HOLDINGS D, INC

SOLE MEMBER

yes

10/2014

Sep 30, 2014

Jul 27, 2016

NFP HOLDINGS, LLC

Owner

yes

10/2014

Sep 30, 2014

Jul 27, 2016

NFP PARENT CO, LLC

Owner

yes

10/2014

Sep 30, 2014

Jul 27, 2016

PEDLOW, MICHAEL ROSS

SVP, CHIEF COMPLIANCE OFFICER

yes

04/2015

Mar 30, 2012

Jul 27, 2016

POER, JAMES LYNN

President

yes

07/2008

Mar 30, 2012

Jul 27, 2016

VANDERHEYDEN, JOHN PATRICK

EVP, CHIEF OPERATING OFFICER

yes

01/2009

Mar 30, 2012

Jul 27, 2016

YIN, YIN

Controller

09/2007

Mar 30, 2012

Jul 27, 2016

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

DIMEO SCHNEIDER & ASSOCIATES LLC

n/a

Mixed wealth

$98B

yes

n/a

NFP RETIREMENT INC.

n/a

Institutional manager

$39B

yes

n/a

KESTRA PRIVATE WEALTH SERVICES, LLC

n/a

Bd affiliated wealth

$13B

yes

n/a

FLEXPATH STRATEGIES LLC

n/a

Other adviser

$2.9B

yes

n/a

PROVISE MANAGEMENT GROUP, LLC

n/a

Independent wealth

$2.0B

yes

n/a

NFP CORPORATE SERVICES (MN), INC.

n/a

Former SEC adviser

$1.4B

yes

n/a

BEACON RETIREMENT PLANNING SERVICES INC.

n/a

Independent wealth

$1.3B

yes

n/a

P&A CAPITAL ADVISORS, INC.

n/a

Asset manager

$126M

yes

n/a

KESTRA INSTITUTIONAL SERVICES, LLC

n/a

No RAUM reported

yes

n/a

NFP INSURANCE SERVICES, INC.

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Bethesda

United States

n/a

Timonium

United States

n/a

Excelsior

United States

n/a

NEW YORK

United States

n/a

Houston

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2015

Mar 7, 2016

$12B

$7.7B

1,159

n/a

2014

Mar 31, 2015

$12B

$6.8B

957

n/a

2013

Mar 3, 2014

$11B

$5.7B

890

n/a

2012

Apr 1, 2013

$9.1B

$4.7B

860

n/a

2011

Mar 30, 2012

$8.0B

$3.9B

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

$12B

3.0%

$9.1B

10.3%

1,159

957

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

KESTRA ADVISORY SERVICES, LLC

May 25, 2016

DOTHAN, AL

Team lift out

Other

0.5%

KESTRA ADVISORY SERVICES, LLC

May 9, 2016

RIDGELAND, MS

Team lift out

Other

1.0%

KESTRA ADVISORY SERVICES, LLC

May 9, 2016

May 23, 2016

AUSTIN, TX

Team lift out

Other

1.5%

KESTRA ADVISORY SERVICES, LLC

May 9, 2016

Apr 28, 2016

SOUTH JORDAN, UT

Team lift out

Other

0.7%

KESTRA ADVISORY SERVICES, LLC

Apr 28, 2016

SHOREWOOD, IL

Team lift out

Other

0.7%

ACUMEN WEALTH ADVISORS, LLC

Feb 8, 2016

CHATTANOOGA, TN

Team lift out

Other

0.5%

OSAIC WEALTH, INC.

Jan 27, 2016

Jan 25, 2016

PITTSBURGH, PA

Team lift out

Other

1.2%

INVEST FINANCIAL CORPORATION

Jan 22, 2016

Jan 15, 2016

PORT ST LUCIE, FL

Team lift out

Other

0.5%

INVESTACORP ADVISORY SERVICES INC

Dec 31, 2015

Jan 7, 2016

WESTPORT, CT

Team lift out

Other

0.5%

INVESTACORP ADVISORY SERVICES INC

Dec 31, 2015

Jan 27, 2016

ATLANTA, GA

Team lift out

Other

0.5%

INVESTACORP ADVISORY SERVICES INC

Dec 31, 2015

Feb 19, 2016

GREENSBORO, NC

Team lift out

Other

0.5%

COMMONWEALTH FINANCIAL NETWORK

Oct 22, 2015

Oct 23, 2015

SAN LUIS OBISPO, CA

Team lift out

Other

0.5%

COMMONWEALTH FINANCIAL NETWORK

Aug 21, 2015

ORLANDO, FL

Team lift out

Other

0.8%

FIRST ALLIED ADVISORY SERVICES, INC.

Jun 26, 2015

TROY, MI

Team lift out

Other

0.5%

IPS ADVISORS

Jan 2, 2015

Jan 6, 2015

DALLAS, TX

Team lift out

Other

0.5%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

WEALTHSPIRE RETIREMENT ADVISORY

Jul 18, 2016

Dec 15, 2015

ALISO VIEJO, CA

Team lift out

Other

16.2%

COMMONWEALTH FINANCIAL NETWORK

Feb 29, 2016

LA QUINTA, CA

Team lift out

Other

0.1%

WEALTHSPIRE RETIREMENT ADVISORY

Oct 2, 2015

Sep 1, 2015

ALISO VIEJO, CA

Team lift out

Other

7.1%

INVESTACORP ADVISORY SERVICES INC

Sep 8, 2015

Sep 17, 2015

ALPHARETTA, GA

Team lift out

Other

2.3%

STANCORP INVESTMENT ADVISERS, INC.

Aug 3, 2015

Aug 28, 2015

ORANGE, CA

Team lift out

Other

3.6%

LPL FINANCIAL LLC

Jun 4, 2015

May 29, 2015

ST PAUL, MN

Team lift out

Other

0.0%

PRIVATE ADVISOR GROUP, LLC

May 5, 2015

Apr 2, 2015

MORRISTOWN, NJ

Team lift out

Other

1.0%

INVEST FINANCIAL CORPORATION

Feb 3, 2015

Mar 23, 2015

GREENSBORO, NC

Team lift out

Other

0.7%