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
Npb Financial Group, LLC
Latest filing Oct 20, 2022
First filing on the tape Mar 30, 2012 · 29 filings
RAUM
$249M
reported, Item 5.F
Discretionary
53%
of RAUM
Private clients
100%
$249M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
19
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$249M as of Mar 28, 2022
Mar 30, 2012$180M then
HNW client RAUM$7.5M as of Mar 28, 2022
Mar 29, 2018$100M then
State-registered IARs (5.B.3)2 as of Mar 28, 2022
Mar 30, 20120 then
Employees (5.A)5 as of Mar 28, 2022
Mar 28, 20134 then
Private funds: no history
RAUM +7.5% over the last fiscal year-7.7% a year over threeIARs 4 to 2offices 23 to 19
Practice profile
derived from the filing of Oct 20, 2022; every figure names its basis
- RAUM per advisor
- $124MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 849derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $248,794derivedHNW RAUM over HNW clients
- Average account
- $146,522derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 53%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 0.1derived20 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +71%derived
- Compensation
- percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$241M97%
- High-net-worth individuals$7.5M3.0%
- Individual clients
- 1,668reported
- HNW clients
- 30reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,698reported
- Financial planning clients
- 101-250reported
- 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
- Gregory Jay Meyer to Pash & Benson International Ltd.Oct 27, 2022 · Other
- Gary Gustave Benson to Pash & Benson International Ltd.Jul 28, 2022 · Other
- Charles Mann to Independent Financial Group, LLCJul 15, 2022 · RIA to affiliated broker-dealer or bank
- Joseph Gustav Yurgec to Independent Financial Group, LLCJul 15, 2022 · RIA to affiliated broker-dealer or bank
- Shirley Jamil Coria to Independent Financial Group, LLCJul 15, 2022 · RIA to affiliated broker-dealer or bank
- James Audy Braziel to Braziel & Associates, LLCJul 15, 2022 · Other
- John Patrick Rice to Independent Financial Group, LLCJul 15, 2022 · RIA to affiliated broker-dealer or bank
- William Nicholas Yakobovich to Independent Financial Group, LLCJul 15, 2022 · RIA to affiliated broker-dealer or bank
- Lance Taylor Patton to Independent Financial Group, LLCJul 15, 2022 · RIA to affiliated broker-dealer or bank
- Thomas Leonard Mckenzie to Independent Financial Group, LLCJul 15, 2022 · RIA to affiliated broker-dealer or bank
- Charles Robie Newton to Responsible Asset ManagementJul 15, 2022 · RIA to a state-registered adviser
- Kimberly Ann Barentsen to Independent Financial Group, LLCJul 15, 2022 · RIA to affiliated broker-dealer or bank
- Matthew Thomas Wright to Independent Financial Group, LLCJul 15, 2022 · RIA to affiliated broker-dealer or bank
- Alexandra Nicole Rasmussen to Financial Counseling Resources LLCJul 15, 2022 · Other
- Justin K Mcintyre to Mcintyre Investments, LLCJul 15, 2022 · Other
Joined, latest
- Justin K Mcintyre from Morgan StanleyMay 15, 2020 · Wirehouse to independent RIA
- Whitney E Johnson from Baseline Investments, LLCAug 1, 2019 · Other
- Khiem Thi Truong - Von Garvisch from Strategic Advisers LLCJun 25, 2019 · Affiliated broker-dealer or bank to independent RIA
- Kimberly Ann Barentsen from First Allied Advisory Services, Inc.Apr 12, 2019 · Affiliated broker-dealer or bank to independent RIA
- Christopher David Garcia from LPL Financial LLCApr 10, 2018 · RIA to RIA
- Lance Taylor Patton from Cetera Advisor Networks LLCJan 2, 2018 · Other
- Christian Fernando Carreon from Gold Coast Securities, Inc.Oct 17, 2017 · Other
- Mark Stephen Sauer from Butorac Wealth Management IncAug 15, 2017 · Other
- Ara Alexander Kachadourian from MML Investors Services, LLCApr 10, 2017 · Other
- Dieter Erwin Thurow from The Planners Network, Inc.Mar 10, 2017 · Other
- Paul Louis Knoblich from Foothill Securities, Inc.Jan 4, 2017 · Other
- Gregory Lloyd Bernhardt from SpcSep 14, 2016 · Other
- John Patrick Rice from Independent Financial Group, LLCMar 25, 2015 · Other
- Kent Randall Alston from Foothill Securities, Inc.Jul 23, 2014 · Other
- Yi Ping Chou from Investacorp Advisory Services IncJan 31, 2014 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 17 left for Independent Financial Group, LLCJul 15, 2022 · Burbank, Ca · Firm absorbed
- 3 left for Western International SecuritiesJun 27, 2022 · Irvine, Ca
- 2 left for All One Wealth, LLCJul 8, 2019 · West Hollywood, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- James Hubert Braziel · Member - Managercontrolsince 04/2006 · owns 10% to 25%
- Frank Stewart Chan · Vice-President/Chief Marketing Officercontrolsince 02/2013 · owns 5% to 10%
- Gary Koon Cheong Ching · Vice-President / Cfo/Acting Ccocontrolsince 10/2005 · owns 5% to 10%
- Shirley Jamil Coria · Vice-President And Chief Operating Officer/Acting Ccocontrolsince 05/2006 · owns 5% to 10%
- Mark Steven Pash · Member - Managercontrolsince 04/2006 · owns 25% to 50%
- James Audy Braziel · Membersince 01/2018 · owns 10% to 25%
- Richard Benn Jr Mcfarland · Trusteesince 05/2006 · owns 5% to 10%
- Richard Benn Jr Mcfarland · Trusteesince 05/2006 · owns F of Mcfarland 1980 Family Trust
- Neal Edwin Nakagiri · Trusteesince 08/2005 · owns F of Nakagiri Rev Liv Trust
- Matthew Thomas Wright · Member - Managersince 05/2008 · owns F of Wright Financial,, LLC
Entity owners
- Mcfarland 1980 Family Trust · Memberdirect · owns 5% to 10%
- Nakagiri Rev Living Trust · Memberdirect · owns 10% to 25%
- Wright Financial, LLC · Memberdirect · owns 5% to 10%
Related persons
Schedule D 7.A
- Barentsen Advisory Services, LLCinvestment advisern
- Braziel And Associates, LLCinvestment advisern
- Farrell Financial, Inc.investment advisern
- Financial Counseling Resources, LLCinvestment advisern
- Pash & Benson International, Ltdinvestment advisern
- Wright Financial, LLCinvestment advisern
Advisers that list Npb Financial Group, LLC as a related person
Offices
Schedule D 1.F, the 25 largest
- Encino, CA3 employees
- Carmel, CA2 employees
- Irvine, CA2 employees
- Chico, CA2 employees
- Sandy, UT1 employees
- Tehachapi, CA1 employees
- , 1 employees
- Santa Rosa, CA1 employees
- , 1 employees
- South Jordan, UT1 employees
- , 1 employees
- Sunnyvale, CA1 employees
- Las Vegas, NV1 employees
- , 1 employees
- Lake Forest, CA1 employees
- Sandy, UT1 employees
- , 1 employees
- , 1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 994 to 1,698Mar 24, 2022 to Mar 28, 2022
- HNW clients · 27 to 30Mar 24, 2022 to Mar 28, 2022
- Individual clients · 967 to 1,668Mar 24, 2022 to Mar 28, 2022
- Other offices · 22 to 19Mar 24, 2022 to Mar 28, 2022
- Discretionary RAUM · $86.3M to $132MMar 24, 2022 to Mar 28, 2022
- HNW RAUM · $46.2M to $7.5MMar 24, 2022 to Mar 28, 2022
- Individual RAUM · $185M to $241MMar 24, 2022 to Mar 28, 2022
- Non-discretionary RAUM · $145M to $117MMar 24, 2022 to Mar 28, 2022
- RAUM · $231M to $249MMar 24, 2022 to Mar 28, 2022
- Advisory employees · 4 to 2May 4, 2021 to Mar 18, 2022
- BD registered reps · 5 to 3May 4, 2021 to Mar 18, 2022
- Employees · 7 to 5May 4, 2021 to Mar 18, 2022
- State-registered IARs · 4 to 2May 4, 2021 to Mar 18, 2022
- Other offices · 23 to 22May 4, 2021 to Mar 18, 2022
- Other offices · 21 to 23Sep 30, 2020 to Mar 31, 2021
- Accounts · 890 to 994May 29, 2020 to Sep 21, 2020
- Advisory employees · 2 to 4May 29, 2020 to Sep 21, 2020
- Individual clients · 863 to 967May 29, 2020 to Sep 21, 2020
- Discretionary RAUM · $62.1M to $86.3MMay 29, 2020 to Sep 21, 2020
- Individual RAUM · $137M to $185MMay 29, 2020 to Sep 21, 2020
- Non-discretionary RAUM · $121M to $145MMay 29, 2020 to Sep 21, 2020
- RAUM · $183M to $231MMay 29, 2020 to Sep 21, 2020
- Accounts · 1,151 to 890Mar 29, 2019 to Mar 28, 2020
- HNW clients · 100 to 27Mar 29, 2019 to Mar 28, 2020
- Individual clients · 1,051 to 863Mar 29, 2019 to Mar 28, 2020
- Other offices · 38 to 21Mar 29, 2019 to Mar 28, 2020
- Discretionary RAUM · $176M to $62.1MMar 29, 2019 to Mar 28, 2020
- HNW RAUM · $140M to $46.2MMar 29, 2019 to Mar 28, 2020
- Individual RAUM · $176M to $137MMar 29, 2019 to Mar 28, 2020
- Non-discretionary RAUM · $140M to $121MMar 29, 2019 to Mar 28, 2020
- RAUM · $316M to $183MMar 29, 2019 to Mar 28, 2020
- Accounts · 907 to 1,151Mar 29, 2018 to Mar 29, 2019
- HNW clients · 50 to 100Mar 29, 2018 to Mar 29, 2019
- Individual clients · 857 to 1,051Mar 29, 2018 to Mar 29, 2019
- Other offices · 40 to 38Mar 29, 2018 to Mar 29, 2019
- Discretionary RAUM · $116M to $176MMar 29, 2018 to Mar 29, 2019
- HNW RAUM · $100M to $140MMar 29, 2018 to Mar 29, 2019
- Individual RAUM · $181M to $176MMar 29, 2018 to Mar 29, 2019
- Non-discretionary RAUM · $165M to $140MMar 29, 2018 to Mar 29, 2019
- RAUM · $281M to $316MMar 29, 2018 to Mar 29, 2019
Signals
34 dated events
- Gregory Jay Meyer left Npb Financial Group, Llc for Pash & Benson International Ltd. (registered 2020-10-09)Oct 27, 2022 · Advisor changed firm · fact
- Gary Gustave Benson left Npb Financial Group, Llc for Pash & Benson International Ltd. (registered 2006-09-19)Jul 28, 2022 · Advisor changed firm · fact
- Alexandra Nicole Rasmussen left Npb Financial Group, Llc for Financial Counseling Resources Llc (registered 2016-07-07)Jul 15, 2022 · Advisor changed firm · fact
- Maximilian Chas Mann left Npb Financial Group, Llc for Professional Financial Advisors Inc (registered 2020-01-31)Jul 15, 2022 · Advisor changed firm · fact
- Matthew Thomas Wright left Npb Financial Group, Llc for Independent Financial Group, Llc (registered 2022-07-15)Jul 15, 2022 · Advisor changed firm · fact
- Kimberly Ann Barentsen left Npb Financial Group, Llc for Independent Financial Group, Llc (registered 2022-07-15)Jul 15, 2022 · Advisor changed firm · fact
- Gregory Lloyd Bernhardt left Npb Financial Group, Llc for Independent Financial Group, Llc (registered 2022-07-15)Jul 15, 2022 · Advisor changed firm · fact
- William Nicholas Yakobovich left Npb Financial Group, Llc for Independent Financial Group, Llc (registered 2022-07-15)Jul 15, 2022 · Advisor changed firm · fact
- Lianne Nichole Larson left Npb Financial Group, Llc for Independent Financial Group, Llc (registered 2025-01-01)Jul 15, 2022 · Advisor changed firm · fact
- John Patrick Rice left Npb Financial Group, Llc for Independent Financial Group, Llc (registered 2022-07-15)Jul 15, 2022 · Advisor changed firm · fact
- Charles Mann left Npb Financial Group, Llc for Independent Financial Group, Llc (registered 2022-07-15)Jul 15, 2022 · Advisor changed firm · fact
- Lance Taylor Patton left Npb Financial Group, Llc for Independent Financial Group, Llc (registered 2022-07-15)Jul 15, 2022 · Advisor changed firm · fact
- Joseph Gustav Yurgec left Npb Financial Group, Llc for Independent Financial Group, Llc (registered 2022-07-15)Jul 15, 2022 · Advisor changed firm · fact
- Douglas Gene Mccowen left Npb Financial Group, Llc for Independent Financial Group, Llc (registered 2022-07-15)Jul 15, 2022 · Advisor changed firm · fact
- Thomas Leonard Mckenzie left Npb Financial Group, Llc for Independent Financial Group, Llc (registered 2022-07-15)Jul 15, 2022 · Advisor changed firm · fact
- Shirley Jamil Coria left Npb Financial Group, Llc for Independent Financial Group, Llc (registered 2022-07-15)Jul 15, 2022 · Advisor changed firm · fact
- Kent Randall Alston left Npb Financial Group, Llc for Independent Financial Group, Llc (registered 2026-01-13)Jul 15, 2022 · Advisor changed firm · fact
- Justin K Mcintyre left Npb Financial Group, Llc for Mcintyre Investments, Llc (registered 2022-01-07)Jul 15, 2022 · Advisor changed firm · fact
- Paul Louis Knoblich left Npb Financial Group, Llc for Independent Financial Group, Llc (registered 2025-01-01)Jul 15, 2022 · Advisor changed firm · fact
- John Raymond Pearson left Npb Financial Group, Llc for Independent Financial Group, Llc (registered 2022-07-15)Jul 15, 2022 · Advisor changed firm · fact
- Timothy Thomas Tracy left Npb Financial Group, Llc for Independent Financial Group, Llc (registered 2022-07-15)Jul 15, 2022 · Advisor changed firm · fact
- Charles Robie Newton left Npb Financial Group, Llc for Responsible Asset Management (registered 2016-03-28)Jul 15, 2022 · Advisor changed firm · fact
- Steven Thomas Hadder left Npb Financial Group, Llc for Independent Financial Group, Llc (registered 2022-07-15)Jul 15, 2022 · Advisor changed firm · fact
- Richard Binkley Du Vernet left Npb Financial Group, Llc for Independent Financial Group, Llc (registered 2025-01-01)Jul 15, 2022 · Advisor changed firm · fact
- James Audy Braziel left Npb Financial Group, Llc for Braziel & Associates, Llc (registered 2009-06-17)Jul 15, 2022 · Advisor changed firm · fact
- Kevin Paul Farrell no longer registered at Npb Financial Group, Llc; no later IA registration on IAPDJul 15, 2022 · Advisor departure · fact
- Npb Financial Group, LLC's advisors moved to Independent Financial Group, LLC (Burbank, CA): 17 of 26 registered, on the same dayJul 15, 2022 · Firm absorbed (people side) · derived
- Andrew David Tsu left Npb Financial Group, Llc for Western International Securities (registered 2022-06-24)Jun 27, 2022 · Advisor changed firm · fact
- Maureen Ming-Yuan Tsu left Npb Financial Group, Llc for Western International Securities (registered 2022-06-24)Jun 27, 2022 · Advisor changed firm · fact
- Charles Brian Conners left Npb Financial Group, Llc for Western International Securities (registered 2022-06-24)Jun 27, 2022 · Advisor changed firm · fact
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