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.
SEC-registered adviser
Npa Asset Management, LLC
Latest filing Mar 20, 2026
First filing on the tape Mar 7, 2012 · 42 filings
SEC status approved since Feb 23, 2006
RAUM
$1.1B
reported, Item 5.F
Discretionary
51%
of RAUM
Private clients
78%
$836M individuals and HNW
Advisors
52
registered through the firm on IAPD
RAUM per advisor
$20.5M
derived; firm RAUM over IAPD count
Employees
68
52 advisory (5.B.1)
Offices
10
beyond the principal office
Private funds
0
reported on Schedule D
History
42 filings and snapshots on the tape
RAUM$1.1B as of Mar 20, 2026
May 2, 2012$101M then
HNW client RAUM$526M as of Mar 20, 2026
Mar 22, 2018$45.0M then
State-registered IARs (5.B.3)52 as of Mar 20, 2026
Mar 28, 201329 then
Employees (5.A)68 as of Mar 20, 2026
Mar 28, 201337 then
Private funds: no history
RAUM +5.4% over the last fiscal year+10% a year over threeIARs 52 to 52offices 12 to 10
Practice profile
derived from the filing of Mar 20, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $20.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 44derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $599,575derivedHNW RAUM over HNW clients
- Average account
- $387,754derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 51%derivedof RAUM
- Institutional
- 15%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.7derived11 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.1%derived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, 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)
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$526M49%
- Individuals$310M29%
- Pension and profit-sharing plans$158M15%
- Corporations and businesses$68.8M6.5%
- Charitable organizations$2.3M0.2%
- Individual clients
- 1,416reported
- HNW clients
- 877reported
- Pension plan clients
- 376reported
- Charitable clients
- 3reported
- Accounts
- 2,746reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.78 fund_share=0.0 institutional_share=0.15 related_bd=true related_bank=false bd_reps=52.0derived
Advisors registered through the firm
51 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Carmelo Arce Alvarez | Hato Rey, Pr | Jan 3, 2018 | 12 y | 1 |
| Antonio Suarez-Borelli | Hato Rey, Pr | Jan 3, 2018 | 21 y | 1 |
| James S Colleary | Fair Lawn, Nj | Jan 9, 2018 | 16 y | 1 |
| Kevin Richard Morse | Fair Lawn, Nj | Jan 9, 2018 | 19 y | 4 |
| Gregory William Horne | Fair Lawn, Nj | Jan 9, 2018 | 15 y | 2 |
| Matthew Miles StroupCertified Financial Planner | Fair Lawn, Nj | Jan 9, 2018 | 45 y | 2 |
| Michael Gregory StraffordCertified Financial Planner | Fair Lawn, Nj | Jan 9, 2018 | 35 y | 1 |
| Andrew Allan Arons | Hackensack, Nj | Jan 9, 2018 | 33 y | 2 |
| John Scott Costa | Cherry Hill, Nj | Jan 9, 2018 | 32 y | 3 |
| Jeanne Tompkins WeaverCertified Financial Planner, Chartered Financial Consultant | Fair Lawn, Nj | Jan 9, 2018 | 39 y | 3 |
| Richard John WalshChartered Financial Consultant | Fair Lawn, Nj | Jan 9, 2018 | 41 y | 6 |
| Richard Francis Fitzgerald | Fair Lawn, Nj | Jan 9, 2018 | 41 y | 1 |
| William George Roll | Fair Lawn, Nj | Jan 9, 2018 | 39 y | 3 |
| James Kevin NobleCertified Financial Planner | Fair Lawn, Nj | Jan 9, 2018 | 32 y | 4 |
| Theresa Jean YaroshCertified Financial Planner, Chartered Financial Consultant | Fair Lawn, Nj | Jan 9, 2018 | 21 y | 4 |
| Michael John De Pol | Fair Lawn, Nj | Jan 9, 2018 | 33 y | 3 |
| Eric Kent Carrara | Chatham, Nj | Jan 9, 2018 | 36 y | 3 |
| Richard Lee Rose | Fair Lawn, Nj | Jan 9, 2018 | 35 y | 5 |
| Jonathan Lee Dreskin | Fair Lawn, Nj | Jan 9, 2018 | 30 y | 1 |
| Michael Lionel MarchCertified Financial Planner | Hackensack, Nj | Jan 9, 2018 | 33 y | 2 |
| Gabriella Clapp Milley | Fair Lawn, Nj | Jan 9, 2018 | 33 y | 3 |
| Robert Paul Barker | Fair Lawn, Nj | Jan 9, 2018 | 33 y | 1 |
| Libertad Morente Rosenkranz | Fair Lawn, Nj | Jan 9, 2018 | 31 y | 2 |
| Wilfred Guzman | Fair Lawn, Nj | Jan 9, 2018 | 30 y | 2 |
| Daniel John Mazurek | Montville, Nj | Jan 9, 2018 | 31 y | 1 |
| Eric Arthur Bicknese | Fair Lawn, Nj | Jan 9, 2018 | 29 y | 3 |
| Michael J KaralewichCertified Financial Planner | Fair Lawn, Nj | Jan 9, 2018 | 26 y | 1 |
| Brett Tompkins Weaver | Fair Lawn, Nj | Jan 9, 2018 | 16 y | 3 |
| Lorenzo A Aufiero | Fair Lawn, Nj | Jan 11, 2018 | 30 y | 1 |
| Michelle M Vazquez | Fair Lawn, Nj | Jan 12, 2018 | 26 y | 2 |
| Suzanne Short | Fair Lawn, Nj | Jan 12, 2018 | 33 y | 2 |
| Eduardo Jose Pou Monagas | Fair Lawn, Nj | Jan 12, 2018 | 26 y | 2 |
| Guillermo Santiago | Hato Rey, Pr | Jan 12, 2018 | 18 y | 3 |
| Manuel Francisco Porrata Monserrate | Fair Lawn, Nj | Jan 12, 2018 | 32 y | 1 |
| Fernando J. Del Llano Sobrino | Fair Lawn, Nj | Jan 12, 2018 | 26 y | 2 |
| Ricardo Perez-Collazo | San Juan, Pr | Jan 18, 2018 | 10 y | 1 |
| Robert Joseph Lapetina | Fair Lawn, Nj | Feb 26, 2018 | 31 y | 1 |
| Jorge BravoCertified Financial Planner | San Juan, Pr | Mar 13, 2018 | 33 y | 1 |
| Fernando Jose Agudo Nido | Fair Lawn, Nj | Mar 13, 2018 | 28 y | 2 |
| Gustavo Velazquez Melendez | Humacao, Pr | Mar 13, 2018 | 20 y | 0 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- Emmanuel Santiago Perez to Cetera Investment Advisers LLCDec 16, 2024 · Affiliated broker-dealer or bank to another
- Roberto Guzman Vidal to Ipi Wealth Management, Inc.Oct 21, 2020 · Affiliated broker-dealer or bank to another
- Eric G Ortiz-Berrios to Ipi Wealth Management, Inc.Oct 21, 2020 · Affiliated broker-dealer or bank to another
- Raymond Zong to Ni AdvisorsJul 27, 2020 · Affiliated broker-dealer or bank to a state-registered adviser
- Jose Ivan Acosta Jordan to Herbert J. Sims Capital Management, Inc.Jun 1, 2020 · Affiliated broker-dealer or bank to independent RIA
- Michael John De Pol to Blue Point Strategic Wealth Management, LLCDec 31, 2017 · Other
- Tori Lind Benjamin to Cw Advisors, LLCNov 1, 2016 · Other
- Richard John Walsh to Voya Financial Advisors, Inc.Nov 28, 2014 · Other
- Vito Abbondandolo to Abbondandolo Wealth Management CorpJul 24, 2014 · Other
- Eric Lawson Woo to National Planning Corporation ("Npc Of America" In Fl & Ny)May 29, 2013 · Other
- Craig Lawrence Piper to Ic Advisory Services, Inc.Apr 1, 2013 · Other
- Stephen Joseph Agrista to On Investment Management CoOct 24, 2012 · Other
- Michael Albert Gandet to National Planning Corporation ("Npc Of America" In Fl & Ny)Aug 30, 2012 · Other
- Renee Dalal Dawson to Mesirow Financial Investment Management, Inc.Mar 18, 2011 · Other
- Ronald Cappuccio to Merrill Lynch, Pierce, Fenner & Smith IncorporatedJun 7, 2010 · Other
Joined, latest
- Anthony T Megaro from Park Avenue Securities LLCMar 19, 2026 · Affiliated broker-dealer or bank to another
- Jeffrey J. Lapetina Mafuz from Oriental Financial Services LLCDec 1, 2025 · RIA to affiliated broker-dealer or bank
- Miguel Oscar Morales-Corujo from Wells Fargo AdvisorsSep 10, 2025 · Wirehouse to affiliated broker-dealer or bank
- Diana M Corujo-Ramsey from Osaic Wealth, Inc.Apr 28, 2025 · Affiliated broker-dealer or bank to another
- Jose Arturo Ramos Rios from Popular Securities, LLCJan 21, 2021 · RIA to affiliated broker-dealer or bank
- Roberto Feria Cestero from Herbert J. Sims Capital Management, Inc.Mar 13, 2020 · RIA to RIA
- Kenneth Jay Schnoll from Summit Financial Group IncJan 2, 2020 · Affiliated broker-dealer or bank to independent RIA
- Manuel Escobar from Oriental Financial Services LLCDec 13, 2019 · RIA to RIA
- Miguel Andres Pascual from Aegis Capital Corp.Mar 27, 2018 · Affiliated broker-dealer or bank to independent RIA
- Jorge Bravo from Aegis Capital Corp.Mar 13, 2018 · Other
- Luis Alejandro Casaresmaduro from Aegis Capital Corp.Mar 13, 2018 · Other
- Michael John De Pol from Blue Point Strategic Wealth Management, LLCJan 9, 2018 · Other
- Fernando Jose Agudo Nido from Santander SecuritiesOct 11, 2017 · Other
- Eduardo Jose Pou Monagas from Santander SecuritiesSep 1, 2017 · Other
- Michelle M Vazquez from Santander SecuritiesAug 18, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Ipi Wealth Management, Inc.Oct 21, 2020 · Fair Lawn, Nj
- 3 joined from Aegis Capital Corp.Mar 2, 2018 · San Juan, Pr
- 2 joined from Voya Financial Advisors, Inc.Apr 17, 2015 · Fairfax, Va
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Peter Abramenko · Co-Chairman Of The Boardcontrolsince 09/2009 · owns 50% to 75%
- S James Colleary · Chief Compliance Officercontrolsince 05/2015 · owns less than 5%
- John Michael De Pol · Founder And Chairmam Of The Boardcontrolsince 10/1992 · owns 50% to 75%
- J Michael Karalewich · Chief Executive Officercontrolsince 05/2015 · owns less than 5%
Related persons
Schedule D 7.A
- Nationwide Planning Associates Inc.broker-dealery
- Npa Insurance Agency, Inc.real estatey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Fair Lawn, Nj · principal | 51 | 3 | 0 | ||
| Hato Rey, Pr | 13 | 1 | 0 | ||
| San Juan, Pr | 4 | 0 | 0 | ||
| Hackensack, Nj | 2 | 0 | 0 | ||
| Huntington, Ny | 2 | 0 | 0 | ||
| Kissimmee, Fl | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Hato Rey, PR14 employees
- Hackensack, NJ3 employees
- Huntington, NY2 employees
- East Hanover, NJ1 employees
- Croton On Hudson, NY1 employees
- , 1 employees
- Mayaguez, PR1 employees
- Cherry Hill, NJ1 employees
- Kissimmee, FL1 employees
- Montville, NJ1 employees
- Lebanon, NJ1 employees
- Chatham, NJ1 employees
- Hasbrouck Heights, NJ1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Mar 20, 2026institutional share of RAUM of 15% against a peer median of 1% (56 comparable advisers, 100.0th percentile, 4.9 robust deviations)peers: affiliated wealth managers, $1B to $5B (56) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 2,855 to 2,746Sep 10, 2025 to Mar 20, 2026
- Corporate clients · 75 to 74Sep 10, 2025 to Mar 20, 2026
- HNW clients · 873 to 877Sep 10, 2025 to Mar 20, 2026
- Individual clients · 1,468 to 1,416Sep 10, 2025 to Mar 20, 2026
- Pension plan clients · 436 to 376Sep 10, 2025 to Mar 20, 2026
- Other offices · 12 to 10Sep 10, 2025 to Mar 20, 2026
- Discretionary RAUM · $494M to $544MSep 10, 2025 to Mar 20, 2026
- HNW RAUM · $515M to $526MSep 10, 2025 to Mar 20, 2026
- Individual RAUM · $271M to $310MSep 10, 2025 to Mar 20, 2026
- Non-discretionary RAUM · $516M to $521MSep 10, 2025 to Mar 20, 2026
- Pension RAUM · $148M to $158MSep 10, 2025 to Mar 20, 2026
- RAUM · $1.0B to $1.1BSep 10, 2025 to Mar 20, 2026
- Accounts · 2,853 to 2,855Sep 26, 2024 to Mar 31, 2025
- Advisory employees · 53 to 52Sep 26, 2024 to Mar 31, 2025
- BD registered reps · 53 to 52Sep 26, 2024 to Mar 31, 2025
- Charity clients · 4 to 3Sep 26, 2024 to Mar 31, 2025
- Corporate clients · 78 to 75Sep 26, 2024 to Mar 31, 2025
- HNW clients · 818 to 873Sep 26, 2024 to Mar 31, 2025
- Individual clients · 1,573 to 1,468Sep 26, 2024 to Mar 31, 2025
- Pension plan clients · 380 to 436Sep 26, 2024 to Mar 31, 2025
- Employees · 71 to 68Sep 26, 2024 to Mar 31, 2025
- Financial planning clients · 101-250 to 101-250Sep 26, 2024 to Mar 31, 2025
- State-registered IARs · 53 to 52Sep 26, 2024 to Mar 31, 2025
- Other offices · 13 to 12Sep 26, 2024 to Mar 31, 2025
- Discretionary RAUM · $336M to $494MSep 26, 2024 to Mar 31, 2025
- HNW RAUM · $414M to $515MSep 26, 2024 to Mar 31, 2025
- Individual RAUM · $253M to $271MSep 26, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $547M to $516MSep 26, 2024 to Mar 31, 2025
- Pension RAUM · $138M to $148MSep 26, 2024 to Mar 31, 2025
- RAUM · $883M to $1.0BSep 26, 2024 to Mar 31, 2025
- Accounts · 2,880 to 2,853Feb 9, 2024 to Mar 28, 2024
- Advisory employees · 54 to 53Feb 9, 2024 to Mar 28, 2024
- BD registered reps · 59 to 53Feb 9, 2024 to Mar 28, 2024
- Corporate clients · 73 to 78Feb 9, 2024 to Mar 28, 2024
- HNW clients · 749 to 818Feb 9, 2024 to Mar 28, 2024
- Individual clients · 1,655 to 1,573Feb 9, 2024 to Mar 28, 2024
- Pension plan clients · 399 to 380Feb 9, 2024 to Mar 28, 2024
- Employees · 73 to 71Feb 9, 2024 to Mar 28, 2024
- State-registered IARs · 54 to 53Feb 9, 2024 to Mar 28, 2024
- Other offices · 14 to 13Feb 9, 2024 to Mar 28, 2024
Signals
3 dated events
- Emmanuel Santiago Perez left Npa Asset Management, Llc for Cetera Investment Advisers Llc (registered 2024-12-19)Dec 16, 2024 · Advisor changed firm · fact
- Npa Asset Management, Llc reported RAUM $649.4M, up 26% from $517.2M (2020-01-15 to 2020-03-31)Mar 31, 2020 · RAUM change · derived
- Npa Asset Management, Llc reported RAUM $505.1M, up 29% from $391.2M (2018-02-01 to 2018-03-22)Mar 22, 2018 · RAUM 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.
How to reach
public business contact points only, each with its source
- Website
- NATIONWIDEPLANNING.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 201-476-0029reportedpublic record, Form ADV, Mar 20, 2026
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
- Broker-dealer affiliated wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $20.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026