DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Nfp Corporate Services (Mn), Inc.

Former SEC-registered adviserPlymouth, MinnesotaCRD 116548SEC 801-63769IAPD
Latest filing Mar 30, 2016
First filing on the tape Apr 2, 2012 · 10 filings
RAUM
$1.4B
reported, Item 5.F
Discretionary
12%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
34
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$1.4B as of Mar 30, 2016
Apr 2, 2012$1.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2016
Mar 28, 20130 then
Employees (5.A)34 as of Mar 30, 2016
Mar 28, 201330 then
Private funds: no history
RAUM -5.9% over the last fiscal year+8.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2016; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$2.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
12%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-5.9%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
Ownership
a PE fund or sponsor is a 25 percent or greater owner on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • is an insurance broker or agent (6.A.6)
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
670reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourly, commissionsreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Ronald Brett Schneider · Directorcontrol
        since 01/2009 · owns less than 5%
      • Allen Anthony Cardinal · Director,Executive Vice President, Treasurer And Chief Compliance Officer
        since 01/2001 · owns less than 5%
      • Andrew Michael Evan · Vice President
        since 10/2014 · owns less than 5%
      • Michell Lori Lieser · Vice President
        since 01/2009 · owns less than 5%
      • Earl Thomas Miller · Director And President
        since 01/2001 · owns less than 5%
      • George Edward O'Malley · Director
        since 02/2015 · owns less than 5%
      • Richard James Sarych · Director And Executive Vice President
        since 01/2001 · owns less than 5%
      Entity owners
      • Nfp Corp. · Shareholder
        direct · owns 75% or more
      • Madison Dearborn Capital Partners Vi-A, L.P. · Owner
        indirect · owns 75% or more of Nfp Holdings, LLC
      • Madison Dearborn Partners · General Partner
        indirect · owns F of Madison Dearborn Partners Vi-A&C, L.P.
      • Madison Dearborn Partners Vi-A&C, L.P. · General Partner
        indirect · owns F of Madison Dearborn Capital Partners Vi-A, L.P.
      • Nfp Holdings, LLC · Owner
        indirect · owns 75% or more of Nfp Parent Co, LLC
      • Nfp Intermediate Holdings A. Corp · Owner
        indirect · owns 75% or more of Nfp Intermediate Holdings B. Corp.
      • Nfp Intermediate Holdings B. Corp · Owner
        indirect · owns 75% or more of Nfp Corp.
      • Nfp Parent Co, LLC · Owner
        indirect · owns 75% or more of Nfp Intermediate Holdings A. Corp.
      Related persons
      Schedule D 7.A
      Advisers that list Nfp Corporate Services (Mn), Inc. as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 586 to 670
        Mar 31, 2015 to Mar 30, 2016
      • Advisory employees · 5 to 6
        Mar 31, 2015 to Mar 30, 2016
      • Employees · 30 to 34
        Mar 31, 2015 to Mar 30, 2016
      • Discretionary RAUM · $189M to $163M
        Mar 31, 2015 to Mar 30, 2016
      • Non-discretionary RAUM · $1.3B to $1.2B
        Mar 31, 2015 to Mar 30, 2016
      • RAUM · $1.5B to $1.4B
        Mar 31, 2015 to Mar 30, 2016
      • Advisory employees · 6 to 5
        Oct 30, 2014 to Mar 31, 2015
      • BD registered reps · 11 to 9
        Oct 30, 2014 to Mar 31, 2015
      • Business name · FINANCIAL CONCEPTS, INC. to NFP CORPORATE SERVICES (MN), INC.
        Oct 30, 2014 to Mar 31, 2015
      • Employees · 33 to 30
        Oct 30, 2014 to Mar 31, 2015
      • Legal name · FINANCIAL CONCEPTS OF THE TWIN CITIES, INC. to NFP CORPORATE SERVICES (MN), INC.
        Oct 30, 2014 to Mar 31, 2015
      • Accounts · 512 to 586
        Mar 28, 2013 to Mar 26, 2014
      • Employees · 30 to 33
        Mar 28, 2013 to Mar 26, 2014
      • Discretionary RAUM · $102M to $189M
        Mar 28, 2013 to Mar 26, 2014
      • Non-discretionary RAUM · $1.0B to $1.3B
        Mar 28, 2013 to Mar 26, 2014
      • RAUM · $1.1B to $1.5B
        Mar 28, 2013 to Mar 26, 2014
      • Accounts · 494 to 512
        Oct 12, 2012 to Mar 28, 2013
      • Advisory employees · unset to 6.0
        Oct 12, 2012 to Mar 28, 2013
      • Advisory activities · 5 to 6
        Oct 12, 2012 to Mar 28, 2013
      • BD registered reps · unset to 11.0
        Oct 12, 2012 to Mar 28, 2013
      • Employees · unset to 30.0
        Oct 12, 2012 to Mar 28, 2013
      • Financial planning clients · 11-25 to 51-100
        Oct 12, 2012 to Mar 28, 2013
      • State-registered IARs · unset to 0.0
        Oct 12, 2012 to Mar 28, 2013
      • Discretionary RAUM · $89.8M to $102M
        Oct 12, 2012 to Mar 28, 2013
      • Non-discretionary RAUM · $931M to $1.0B
        Oct 12, 2012 to Mar 28, 2013
      • RAUM · $1.0B to $1.1B
        Oct 12, 2012 to Mar 28, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      Provenance
      Form ADV
      SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
      Advisors
      IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
      Class
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026