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

Sii Investments, Inc.

Former SEC-registered adviserAppleton, WisconsinCRD 2225SEC 801-54935IAPD
Latest filing Jun 13, 2018
First filing on the tape Mar 30, 2012 · 29 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
81
23 advisory (5.B.1)
Offices
107
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$4.3B as of Mar 31, 2017
Mar 30, 2012$2.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)23 as of Mar 29, 2018
Mar 30, 20120 then
Employees (5.A)81 as of Mar 29, 2018
Apr 1, 2013778 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 445 to 23
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
3.5derivedItem 5.A over advisors
Advisors per office
0.2derived108 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
-95%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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Caren Leslie Coleman · Vp, Nph Product And Sponsor Relationscontrol
    since 01/2010 · owns less than 5%
  • Maura Kathryn Collins · Svp/Cfo National Planning Holdingscontrol
    since 03/2004 · owns less than 5%
  • Steven Howard Dowden · President And Ceo Of Nphcontrol
    since 02/2018 · owns less than 5%
  • Gerry A Gunderson · Nph General Counsel & Svp Of Regulatory Affairscontrol
    since 07/2006 · owns less than 5%
  • Bradley Olan Harris · Directorcontrol
    since 02/2017 · owns less than 5%
  • Dawn Marie Kalinowski · Svp, Coocontrol
    since 11/2004 · owns less than 5%
  • Todd Michael Kinart · Sii President & Ceo/Directorcontrol
    since 02/2007 · owns less than 5%
  • Vanessa Marie Rodriguez Lambrechts · Vp, Finop & Controllercontrol
    since 04/2013 · owns less than 5%
  • James Peter Miller · Nph Svp Operationscontrol
    since 02/2007 · owns less than 5%
  • Patricia Ann Mccallop · Nph And Sii Svp & Chief Compliance Officer
    since 06/2018 · owns less than 5%
Entity owners
  • National Planning Holdings, Inc · Shareholder
    direct · owns 75% or more
  • Brooke (Holdco1), Inc. · Shareholder
    indirect · owns 75% or more of Jackson Holdings LLC
  • Jackson Holdings LLC · Shareholder
    indirect · owns 75% or more of National Planning Holdings, Inc.
  • Prudential (US Holdco1) · Shareholder
    indirect · owns 75% or more of Brooke (Holdco1), Inc.
  • Prudential, Plc. · Shareholder
    indirect · owns 75% or more of Prudential (US Holdco 1) · public reporting company
Related persons
Schedule D 7.A
Advisers that list Sii Investments, Inc. as a related person
Offices
Schedule D 1.F, the 25 largest
  • Crown Point, IN14 employees
  • Buffalo, NY10 employees
  • Coralville, IA7 employees
  • Madison, WI7 employees
  • Lake Oswego, OR6 employees
  • Parma, OH5 employees
  • Denver, CO5 employees
  • The Villages, FL5 employees
  • Green Bay, WI5 employees
  • New Bedford, MA4 employees
  • Fairview Park, OH4 employees
  • Menasha, WI3 employees
  • Eden Prairie, MN3 employees
  • Grand Rapids, MN3 employees
  • Willoughby Hills, OH3 employees
  • , 3 employees
  • Belleville, IL3 employees
  • Fort Collins, CO3 employees
  • Oregon City, OR3 employees
  • Long Beach, CA3 employees
  • New York, NY3 employees
  • Bloomington, MN2 employees
  • Menomonee Falls, WI2 employees
  • Elm Grove, WI2 employees
  • Auburn, IN2 employees
What changed
consecutive filings, newest first
  • Accounts · 18681.0 to unset
    Jan 4, 2018 to Mar 29, 2018
  • Advisory employees · 372 to 23
    Jan 4, 2018 to Mar 29, 2018
  • Advisory activities · 6 to 1
    Jan 4, 2018 to Mar 29, 2018
  • BD registered reps · 646 to 33
    Jan 4, 2018 to Mar 29, 2018
  • Charity clients · 37.0 to unset
    Jan 4, 2018 to Mar 29, 2018
  • Corporate clients · 31.0 to unset
    Jan 4, 2018 to Mar 29, 2018
  • HNW clients · 1090.0 to unset
    Jan 4, 2018 to Mar 29, 2018
  • Individual clients · 12232.0 to unset
    Jan 4, 2018 to Mar 29, 2018
  • Pension plan clients · 13.0 to unset
    Jan 4, 2018 to Mar 29, 2018
  • Commission compensation · true to false
    Jan 4, 2018 to Mar 29, 2018
  • Employees · 646 to 81
    Jan 4, 2018 to Mar 29, 2018
  • Insurance-licensed employees · 42 to 0
    Jan 4, 2018 to Mar 29, 2018
  • Financial planning clients · More than 500 to 0
    Jan 4, 2018 to Mar 29, 2018
  • State-registered IARs · 372 to 23
    Jan 4, 2018 to Mar 29, 2018
  • Other offices · 208 to 107
    Jan 4, 2018 to Mar 29, 2018
  • Discretionary RAUM · 4305487223.0 to unset
    Jan 4, 2018 to Mar 29, 2018
  • HNW RAUM · 2990500803.0 to unset
    Jan 4, 2018 to Mar 29, 2018
  • Individual RAUM · 2494830423.0 to unset
    Jan 4, 2018 to Mar 29, 2018
  • Non-discretionary RAUM · 84496388.0 to unset
    Jan 4, 2018 to Mar 29, 2018
  • Pension RAUM · 12949684.0 to unset
    Jan 4, 2018 to Mar 29, 2018
  • RAUM · 4389983611.0 to unset
    Jan 4, 2018 to Mar 29, 2018
  • Wrap assets (manager) · 1955505676.0 to unset
    Jan 4, 2018 to Mar 29, 2018
  • Wrap assets (sponsor) · 2670354413.0 to unset
    Jan 4, 2018 to Mar 29, 2018
  • Discretionary RAUM · $5.6B to $4.3B
    Dec 13, 2017 to Jan 4, 2018
  • RAUM · $5.7B to $4.4B
    Dec 13, 2017 to Jan 4, 2018
  • Accounts · 23,637 to 18,681
    Jul 7, 2017 to Dec 13, 2017
  • Advisory employees · 445 to 372
    Jul 7, 2017 to Dec 13, 2017
  • BD registered reps · 747 to 646
    Jul 7, 2017 to Dec 13, 2017
  • Charity clients · unset to 37.0
    Jul 7, 2017 to Dec 13, 2017
  • Corporate clients · unset to 31.0
    Jul 7, 2017 to Dec 13, 2017
  • HNW clients · unset to 1090.0
    Jul 7, 2017 to Dec 13, 2017
  • Individual clients · unset to 12232.0
    Jul 7, 2017 to Dec 13, 2017
  • Pension plan clients · unset to 13.0
    Jul 7, 2017 to Dec 13, 2017
  • Employees · 747 to 646
    Jul 7, 2017 to Dec 13, 2017
  • Insurance-licensed employees · 41 to 42
    Jul 7, 2017 to Dec 13, 2017
  • State-registered IARs · 445 to 372
    Jul 7, 2017 to Dec 13, 2017
  • Other offices · unset to 208.0
    Jul 7, 2017 to Dec 13, 2017
  • Discretionary RAUM · $4.1B to $5.6B
    Jul 7, 2017 to Dec 13, 2017
  • HNW RAUM · unset to 2990500803.0
    Jul 7, 2017 to Dec 13, 2017
  • Individual RAUM · unset to 2494830423.0
    Jul 7, 2017 to Dec 13, 2017
Signals
2 dated events
  • Sii Investments, Inc. reported 107 offices beyond its principal office, down from 208 (2018-01-04 to 2018-03-29)
    Mar 29, 2018 · Office count change · derived
  • Sii Investments, Inc. reported 23 state-registered advisory representatives, down from 372 (2018-01-04 to 2018-03-29)
    Mar 29, 2018 · Advisor headcount change · derived
Across DFX
shared identifiers only, never a name match
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