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.
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Former SEC-registered adviser
I••••• F•••••••• C•••••••••
Legal name I•• H•••••••• I•••
Latest filing Jun 13, 2018
First filing on the tape Mar 30, 2012 · 45 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
20
5 advisory (5.B.1)
Offices
450
beyond the principal office
Private funds
0
reported on Schedule D
History
45 filings and snapshots on the tape
RAUM$4.1B as of Mar 31, 2017
Mar 30, 2012$2.0B then
HNW client RAUM: $0
State-registered IARs (5.B.3)20 as of Mar 29, 2018
Mar 22, 20131,025 then
Employees (5.A)20 as of Mar 29, 2018
Mar 22, 20131,025 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 916 to 20
Practice profile
derived from the filing of Jun 13, 2018; 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.0derived451 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- -98%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- otherreportedItem 5.E
- Advisory activities
- otherreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
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
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- n/areported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- n/areported
- 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
- S••••• R•••• W•••••• to H• B•••• I•••Jun 25, 2018 · Other
- D•••• A••••• M••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Apr 24, 2018 · Other
- T•••••• F•••• P•••• to M••••• S••••••Apr 24, 2018 · Other
- M••• C••••• E••••••• to L•• F•••••••• L••Apr 24, 2018 · Other
- R•••••• A•• L•••• to M••••• S••••••Apr 24, 2018 · Other
- R•••••• T••••• W••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Apr 24, 2018 · Other
- H•••• J• M••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Apr 24, 2018 · Other
- M•••••• M• O••••• to M••••• S••••••Apr 24, 2018 · Other
- W•••• N•••••• H••• to L•• F•••••••• L••Apr 24, 2018 · Other
- T•••••• A•••••••• D•••••••• to C••••• • A••••••••• I•••Apr 24, 2018 · Other
- C•••••••• P••• D•••••• to R•••••• J•••• • A••••••••• I•••Apr 24, 2018 · Other
- A••••• C••••••••• B••••••• to R•••••• J•••• • A••••••••• I•••Apr 24, 2018 · Other
- M•••• A•••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Mar 19, 2018 · Other
- B••••••• D••••• D•••• to R•••••• J•••• • A••••••••• I•••Mar 19, 2018 · Other
- T••••• K•••• S•••• to J• W• C••• A•••••••• I•••Mar 19, 2018 · Other
Joined, latest
- P••••• E••• W••••••• from N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Mar 27, 2018 · Other
- A••• R••••• K•••• from N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Feb 27, 2018 · Other
- S•••••••• C••••••••• from T• A••••••••• I••••••••• M••••••••• L••Nov 13, 2017 · Other
- K•••• L••••• H•••••••• from U••• B•••••• I••••••••• I•••Nov 3, 2017 · Other
- S•••• C•••••• S••••• from W•••••• • R•••Oct 30, 2017 · Other
- M•••••• D•••• W•••••••• from S•••••••• A••••••• L••Oct 11, 2017 · Other
- M•••• M• L••••• from B•• H••••• F•••••••• A•••••••• I••Oct 9, 2017 · Other
- J••• W••••• M•••• from T••••• A••••••• S•••••••• I•••Sep 13, 2017 · Other
- Z•••••• I•••• S•••••••• from D••••••••• F••• A••••••• L•Sep 11, 2017 · Other
- J••••• L•• L••••• from T••••• A••••••• S•••••••• I•••Sep 1, 2017 · Other
- M•••••• L•••• K•••• from F•••• T•••• S••••••••• I•••Sep 1, 2017 · Other
- G••••• W••••• K••• from T•• O•• R•••• F•••••••• S••••••• G••••• I••Aug 31, 2017 · Other
- D••••• K•••• R••••• from C•••••• O•• A•••••••• L••Aug 28, 2017 · Other
- L••••••• J•••• R••••• from E•• F•••••••• A•••••••Jul 21, 2017 · Other
- C••••••••• R• M••••••• from T••••• A••••••• S•••••••• I•••Jul 20, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for R•••••• J•••• F•••••••• S••••••• A•••••••• I••Apr 24, 2018 · Appleton, Wi
- 2 left for M••••• S••••••Apr 24, 2018 · Appleton, Wi
- 2 left for L•• F•••••••• L••Apr 24, 2018 · Appleton, Wi
- 2 left for R•••••• J•••• • A••••••••• I•••Apr 24, 2018 · Appleton, Wi
- 2 left for J• W• C••• A•••••••• I•••Mar 19, 2018 · Appleton, Wi
- 3 left for P•••••• A•••••• G••••• L••Feb 20, 2018 · Appleton, Wi
- 3 left for A••••••• F••••••••Feb 16, 2018 · Appleton, Wi
- 2 left for C••••••••• W•••••Feb 15, 2018 · Appleton, Wi
- 2 joined from B•••• T•• W••••• M•••••••••Dec 2, 2025 · Cincinnati, Oh
- 2 joined from T••••• A••••••• S•••••••• I•••Sep 6, 2017 · Augusta, Ga
- 4 joined from B•••••• • I•••••••• C••Feb 28, 2017 · Kansas City, Ks · Firm absorbed
- 2 joined from L•• F•••••••• L••Dec 31, 2016 · Waukesha, Wi
- 3 joined from A•••••• A••••••• S•••••••Jun 3, 2016 · Albany, Ga
- 2 joined from O••••• W••••• M••••••••• I•••Apr 20, 2016 · Syracuse, Ny
- 2 joined from N•• A•••••• S•••••••• L••Jan 22, 2016 · Port St Lucie, Fl
- 2 joined from E•••• N••••••• S••••••••• I•••Oct 15, 2015 · Napa, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• C•••• L••••• · Vice Presidentcontrolsince 01/2010 · owns less than 5%
- C••••••• M•••• K•••••• · Senior Vice President & Chief Financial Officer - National P••••••• Holdingscontrolsince 10/2015 · owns less than 5%
- D•••••• S••••• H••••• · President, Ceo, Director; Nph President & Ceocontrolsince 02/2018 · owns less than 5%
- G••••••••• G•••• A• · Nph General Counsel & Svp Of Regulatory Affairscontrolsince 04/2007 · owns less than 5%
- H•••••• B•••••• O••• · Directorcontrolsince 02/2017 · owns less than 5%
- L••••••••• V•••••• M•••• R•••••••• · Vp, Finop, Controllercontrolsince 04/2013 · owns less than 5%
- M•••••••• P••••••• A•• · Nph And Npc Svp & Chief Compliance Officercontrolsince 06/2018 · owns less than 5%
- M•••••• J•••• P•••• · Nph Svp, Operations; Interim Chief Operations Officer-I•••••controlsince 04/2017 · owns less than 5%
- W•••••• S••••• R•••• · Cco-I•••••; 1st Vice President-Compliancecontrolsince 02/2018 · owns less than 5%
Entity owners
- N••••••• P••••••• H•••••••• I••• · Shareholderdirect · owns 75% or more
- B••••• •••••••• I••• · Shareholderindirect · owns 75% or more of J•••••• H••••••• L••
- J•••••• H••••••• L•• · Shareholderindirect · owns 75% or more of N••••••• P••••••• H•••••••• I•••
- P••••••••• •• H••••••• · Shareholderindirect · owns 75% or more of B••••• (H••••••) Inc
- P••••••••• P•• · Shareholderindirect · owns 75% or more of P••••••••• •• H••••••• · public reporting company
Related persons
Schedule D 7.A
- F•••• D•••••• I•••real estatey
- I••••• F•••••••• C••••••••• I•••••••• A••••• I•• O• I•••••••real estatey
- I••••• F•••••••• C••••••••• I•••••••• A•••••• I••• O• D•••••••real estatey
- I••••••••• C•••••• O• A••••••• I•••broker-dealerinvestment adviserreal estatey
- J•••••• N••••••• A•••• M••••••••• L••investment adviserpooled vehicle sponsornRAUM $246B
- J•••••• N••••••• L••• D••••••••• L••broker-dealern
- J•••••• N••••••• L••• I•••••••• C••••••real estaten
- J•••••• N••••••• L••• I•••••••• C•••••• O• N•• Y•••real estaten
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••broker-dealerinvestment adviserreal estaten
- P•• A•••••• I••investment adviserbankpooled vehicle sponsornRAUM $94B
- S•• I••••••••• I•••broker-dealerinvestment adviserreal estaten
Advisers that list I••••• F•••••••• C••••••••• as a related person
Offices
Schedule D 1.F, the 25 largest
- Latham, NY14 employees
- Clearw••••, FL9 employees
- Basking R••••, NJ9 employees
- Burbank, CA8 employees
- Norwalk, CT8 employees
- Syracuse, NY6 employees
- Troy, MI6 employees
- West Des Moines, IA6 employees
- Philadelphia, PA6 employees
- Fort Lauderdale, FL5 employees
- M••••Tta, GA5 employees
- Melville, NY5 employees
- Columbia, MO5 employees
- Boise, ID5 employees
- Murfreesboro, TN5 employees
- Floyd, VA5 employees
- Suwanee, GA5 employees
- W••••Town, NY5 employees
- Burlington, IA5 employees
- Freehold, NJ4 employees
- Carlisle, PA4 employees
- M••••Tta, GA4 employees
- Syracuse, NY4 employees
- W••••Ville, ME4 employees
- Port Saint Lucie, FL4 employees
What changed
consecutive filings, newest first
- Accounts · 25365.0 to unsetAug 31, 2017 to Mar 29, 2018
- Advisory employees · 845 to 5Aug 31, 2017 to Mar 29, 2018
- Advisory activities · 6 to 1Aug 31, 2017 to Mar 29, 2018
- BD registered reps · 987 to 20Aug 31, 2017 to Mar 29, 2018
- Charity clients · unset to 0.0Aug 31, 2017 to Mar 29, 2018
- Corporate clients · unset to 0.0Aug 31, 2017 to Mar 29, 2018
- HNW clients · unset to 0.0Aug 31, 2017 to Mar 29, 2018
- Individual clients · unset to 0.0Aug 31, 2017 to Mar 29, 2018
- Pension plan clients · unset to 0.0Aug 31, 2017 to Mar 29, 2018
- Pooled vehicle clients · unset to 0.0Aug 31, 2017 to Mar 29, 2018
- Commission compensation · true to falseAug 31, 2017 to Mar 29, 2018
- Employees · 987 to 20Aug 31, 2017 to Mar 29, 2018
- Insurance-licensed employees · 33 to 0Aug 31, 2017 to Mar 29, 2018
- Financial planning clients · More than 500 to 0Aug 31, 2017 to Mar 29, 2018
- State-registered IARs · 916 to 20Aug 31, 2017 to Mar 29, 2018
- Other offices · unset to 450.0Aug 31, 2017 to Mar 29, 2018
- Discretionary RAUM · 2362682582.0 to unsetAug 31, 2017 to Mar 29, 2018
- HNW RAUM · unset to 0.0Aug 31, 2017 to Mar 29, 2018
- Individual RAUM · unset to 0.0Aug 31, 2017 to Mar 29, 2018
- Non-discretionary RAUM · 1708163595.0 to unsetAug 31, 2017 to Mar 29, 2018
- Pension RAUM · unset to 0.0Aug 31, 2017 to Mar 29, 2018
- Pooled vehicle RAUM · unset to 0.0Aug 31, 2017 to Mar 29, 2018
- RAUM · 4070846177.0 to unsetAug 31, 2017 to Mar 29, 2018
- Accounts · 31,513 to 25,365Mar 28, 2017 to Mar 31, 2017
- Advisory employees · 857 to 845Mar 28, 2017 to Mar 31, 2017
- BD registered reps · 995 to 987Mar 28, 2017 to Mar 31, 2017
- Employees · 996 to 987Mar 28, 2017 to Mar 31, 2017
- Insurance-licensed employees · 36 to 33Mar 28, 2017 to Mar 31, 2017
- State-registered IARs · 927 to 916Mar 28, 2017 to Mar 31, 2017
- Discretionary RAUM · $2.0B to $2.4BMar 28, 2017 to Mar 31, 2017
- Non-discretionary RAUM · $2.5B to $1.7BMar 28, 2017 to Mar 31, 2017
- RAUM · $4.4B to $4.1BMar 28, 2017 to Mar 31, 2017
- Accounts · 24,327 to 31,513Mar 29, 2016 to Mar 29, 2016
- Advisory employees · 872 to 857Mar 29, 2016 to Mar 29, 2016
- BD registered reps · 1,001 to 995Mar 29, 2016 to Mar 29, 2016
- Employees · 1,031 to 996Mar 29, 2016 to Mar 29, 2016
- Insurance-licensed employees · 41 to 36Mar 29, 2016 to Mar 29, 2016
- State-registered IARs · 931 to 927Mar 29, 2016 to Mar 29, 2016
- Discretionary RAUM · $1.7B to $2.0BMar 29, 2016 to Mar 29, 2016
- Non-discretionary RAUM · $2.3B to $2.5BMar 29, 2016 to Mar 29, 2016
Signals
2 dated events
- 2 advisors left B•••• T•• W••••• M••••••••• (Cincinnati, OH) for I••••• F•••••••• C••••••••• a day apartDec 2, 2025 · Team lift-out · derived
- I••••• F•••••••• C••••••••• reported 20 state-registered advisory representatives, down from 916 (2017-08-31 to 2018-03-29)Mar 29, 2018 · ria a•••••• headcount change · derived
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