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
Investment Centers Of America, Inc.
Latest filing Jun 13, 2018
First filing on the tape Mar 30, 2012 · 33 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
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$3.5B as of Mar 31, 2017
Mar 30, 2012$1.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 29, 2018
Mar 30, 20120 then
Employees (5.A)2 as of Mar 29, 2018
Apr 1, 2013437 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 353 to 2
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
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- -99%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
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- 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
- Dawn Marie Kalinowski to Newedge AdvisorsJun 25, 2018 · Other
- James Anthony Komoszewski to Advisornet Wealth PartnersJun 25, 2018 · Other
- Shana Lynn Keil to Private Client Services, LLCJun 25, 2018 · Other
- Jeremy James Burton to Raymond James & Associates, Inc.Apr 24, 2018 · Other
- Jennifer Ann Brunner to Securities America Advisors, Inc.Apr 24, 2018 · Other
- Thomas Richard Sonnentag to Raymond James & Associates, Inc.Apr 24, 2018 · Other
- Jennifer Lyn Groholski to Securities America Advisors, Inc.Apr 24, 2018 · Other
- Bradley Michael Reinke to Russell InvestmentsApr 24, 2018 · Other
- Todd Christopher Kuen to F3logic, LLCApr 23, 2018 · Other
- Donn L Rutledge to Sii Investments, Inc.Mar 19, 2018 · Other
- Brian Keith Puddy to MML Investors Services, LLCMar 19, 2018 · Other
- Jordan Karl Westphal to Thrivent Investment Management Inc.Mar 19, 2018 · Other
- Michael George Kitzman to Advisors' Pride Inc.Feb 20, 2018 · Other
- Paul J Gunderson to Private Client Services, LLCFeb 20, 2018 · Other
- Lindsey A. Roehl to Raymond James Financial Services Advisors, IncFeb 20, 2018 · Other
Joined, latest
- William Martin Witte from Ameriprise Financial Services, LLCNov 13, 2017 · Other
- Matthew Brent Mccracken from Catamount Capital LLCAug 10, 2017 · Other
- Thomas Aubrey Hodgson from Hightower Advisors, LLCAug 9, 2017 · Other
- Robert Baucum Anglin from SpcAug 1, 2017 · Other
- Nancy Karen Nelson from SpcAug 1, 2017 · Other
- Christian Michael Barnett from Cuso Financial Services, L.P.Jul 31, 2017 · Other
- Blake Christian White from Capital One Advisors, LLCJul 10, 2017 · Other
- Lori A Ripperger from Iowa Wealth Management, LLCJun 20, 2017 · Other
- Timothy Lawrence Welch from Principal Securities, Inc.Jun 12, 2017 · Other
- Thomas Edward Anderson from Woodbury Financial Services, Inc.Jun 8, 2017 · Other
- Justin Mark Heindl from Woodbury Financial Services, Inc.Jun 8, 2017 · Other
- Amanda Lyvette Robinson from Osaic Institutions, Inc.Jun 5, 2017 · Other
- George Addison Webb from Woodbury Financial Services, Inc.Jun 1, 2017 · Other
- Jason Michael Burdine from Investment Professionals, Inc.May 2, 2017 · Other
- Robert A Root from Securities America Advisors, Inc.Apr 21, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Securities America Advisors, Inc.Apr 24, 2018 · Appleton, Wi
- 2 left for Raymond James & Associates, Inc.Apr 24, 2018 · Appleton, Wi
- 2 left for Raymond James Financial Services Advisors, IncFeb 20, 2018 · Appleton, Wi
- 3 left for Ica Group Wealth Management, LLCDec 5, 2017 · Appleton, Wi
- 3 left for Newedge AdvisorsNov 29, 2017 · Chaska, Mn
- 7 left for Newedge AdvisorsNov 29, 2017 · Bismarck, Nd
- 2 left for Newedge AdvisorsNov 29, 2017 · Aberdeen, Sd
- 14 left for Newedge AdvisorsNov 29, 2017 · Appleton, Wi
- 3 joined from Sii Investments, Inc.Jun 25, 2018 · Appleton, Wi · Firm absorbed
- 2 joined from SpcJul 31, 2017 · Ann Arbor, Mi
- 3 joined from Woodbury Financial Services, Inc.Jun 5, 2017 · Charleston, Wv
- 2 joined from LPL Financial LLCFeb 24, 2017 · Roanoke, Va
- 4 joined from Securities America Advisors, Inc.Dec 1, 2015 · Fargo, Nd
- 2 joined from Swbc Investment CompanySep 1, 2015 · Searcy, Ar
- 2 joined from Signator Financial Services, Inc.Apr 30, 2015 · Manhattan, Mt
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Caren Leslie Coleman · Vp, Nph Product And Sponsor Relationscontrolsince 01/2010 · owns less than 5%
- Maura Kathryn Collins · Svp/Cfo National Planning Holdingscontrolsince 03/2004 · owns less than 5%
- Steven Howard Dowden · President And Ceo Of Nphcontrolsince 02/2018 · owns less than 5%
- Gerry A Gunderson · Nph General Counsel & Svp Regulatory Affairscontrolsince 07/2006 · owns less than 5%
- Bradley Olan Harris · Directorcontrolsince 02/2017 · owns less than 5%
- Dawn Marie Kalinowski · Svp/Coocontrolsince 11/2004 · owns less than 5%
- James Anthony Komoszewski · President/Ceo/Directorcontrolsince 05/2016 · owns less than 5%
- Vanessa Marie Rodriguez Lambrechts · Vp, Finop & Controllercontrolsince 04/2013 · owns less than 5%
- James Peter Miller · Nph Svp Operationscontrolsince 02/2007 · owns less than 5%
- Patricia Ann Mccallop · Nph And Ica Svp & Chief Compliance Officersince 06/2018 · owns less than 5%
Entity owners
- Invest Financial Corporation · Direct Ownerdirect · owns 75% or more · public reporting company
- Brooke (Holdco1), Inc. · Shareholderindirect · owns 75% or more of Jackson Holdings LLC
- Jackson Holdings LLC · Shareholderindirect · owns 75% or more of National Planning Holdings, Inc.
- National Planning Holdings, Inc. · Shareholderindirect · owns 75% or more of Invest Financial Corporation
- Prudential (US Holdco1) · Shareholderindirect · owns 75% or more of Brooke (Holdco1), Inc.
- Prudential, Plc. · Shareholderindirect · owns 75% or more of Prudential (US Holdco 1) · public reporting company
Related persons
Schedule D 7.A
- First Dakota, Increal estaten
- Invest Financial Corporationbroker-dealerinvestment adviserreal estatey
- Invest Financial Corporation Insurance Agency Inc. Of Delawarereal estaten
- Invest Financial Corporation Insurance Agency Inc. Of Illinoisreal estaten
- Jackson National Asset Management, LLCinvestment adviserpooled vehicle sponsornRAUM $246B
- Jackson National Life Distributors LLCbroker-dealern
- Jackson National Life Insurance Companyreal estaten
- Jackson National Life Insurance Company Of New Yorkreal estaten
- National Planning Corporation ("Npc Of America" In Fl & Ny)broker-dealerinvestment adviserreal estaten
- Ppm America Incinvestment adviserbankpooled vehicle sponsornRAUM $94B
- Sii Investments, Inc.broker-dealerinvestment adviserreal estaten
Advisers that list Investment Centers Of America, Inc. as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 16681.0 to unsetJul 7, 2017 to Mar 29, 2018
- Advisory employees · 353 to 1Jul 7, 2017 to Mar 29, 2018
- Advisory activities · 6 to 1Jul 7, 2017 to Mar 29, 2018
- BD registered reps · 499 to 2Jul 7, 2017 to Mar 29, 2018
- Commission compensation · true to falseJul 7, 2017 to Mar 29, 2018
- Employees · 499 to 2Jul 7, 2017 to Mar 29, 2018
- Financial planning clients · More than 500 to 0Jul 7, 2017 to Mar 29, 2018
- State-registered IARs · 353 to 2Jul 7, 2017 to Mar 29, 2018
- Other offices · unset to 0.0Jul 7, 2017 to Mar 29, 2018
- Discretionary RAUM · 3000416710.0 to unsetJul 7, 2017 to Mar 29, 2018
- Non-discretionary RAUM · 544974488.0 to unsetJul 7, 2017 to Mar 29, 2018
- RAUM · 3545391198.0 to unsetJul 7, 2017 to Mar 29, 2018
- Accounts · 23,134 to 16,681Mar 24, 2017 to Mar 31, 2017
- Advisory employees · 340 to 353Mar 24, 2017 to Mar 31, 2017
- BD registered reps · 497 to 499Mar 24, 2017 to Mar 31, 2017
- Employees · 497 to 499Mar 24, 2017 to Mar 31, 2017
- State-registered IARs · 340 to 353Mar 24, 2017 to Mar 31, 2017
- Discretionary RAUM · $2.3B to $3.0BMar 24, 2017 to Mar 31, 2017
- Non-discretionary RAUM · $878M to $545MMar 24, 2017 to Mar 31, 2017
- RAUM · $3.1B to $3.5BMar 24, 2017 to Mar 31, 2017
- Accounts · 16,787 to 23,134Mar 28, 2016 to Mar 30, 2016
- Advisory employees · 329 to 340Mar 28, 2016 to Mar 30, 2016
- Financial planning clients · 251-500 to More than 500Mar 28, 2016 to Mar 30, 2016
- State-registered IARs · 329 to 340Mar 28, 2016 to Mar 30, 2016
- Discretionary RAUM · $1.9B to $2.3BMar 28, 2016 to Mar 30, 2016
- Non-discretionary RAUM · $783M to $878MMar 28, 2016 to Mar 30, 2016
- RAUM · $2.6B to $3.1BMar 28, 2016 to Mar 30, 2016
- Advisory employees · 319 to 329Jan 28, 2015 to Mar 31, 2015
- Accounts · 15,518 to 16,787Jan 28, 2015 to Mar 31, 2015
- BD registered reps · 463 to 497Jan 28, 2015 to Mar 31, 2015
- Employees · 463 to 497Jan 28, 2015 to Mar 31, 2015
- State-registered IARs · 319 to 329Jan 28, 2015 to Mar 31, 2015
- Discretionary RAUM · $1.9B to $1.9BJan 28, 2015 to Mar 31, 2015
- Non-discretionary RAUM · $199M to $783MJan 28, 2015 to Mar 31, 2015
- RAUM · $2.1B to $2.6BJan 28, 2015 to Mar 31, 2015
- Accounts · 11,298 to 15,518Apr 1, 2013 to Mar 31, 2014
- Advisory employees · 302 to 319Apr 1, 2013 to Mar 31, 2014
- BD registered reps · 437 to 463Apr 1, 2013 to Mar 31, 2014
- Employees · 437 to 463Apr 1, 2013 to Mar 31, 2014
- State-registered IARs · 302 to 319Apr 1, 2013 to Mar 31, 2014
Signals
1 dated events
- Investment Centers Of America, Inc. reported 2 state-registered advisory representatives, down from 353 (2017-07-07 to 2018-03-29)Mar 29, 2018 · Advisor 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