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
National Planning Corporation ("Npc Of America" In Fl & Ny)
Legal name National Planning Corporation
Latest filing Jun 13, 2018
First filing on the tape Mar 30, 2012 · 42 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
15
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
42 filings and snapshots on the tape
RAUM$7.4B as of Mar 31, 2017
Mar 30, 2012$4.2B then
HNW client RAUM: $0
State-registered IARs (5.B.3)15 as of Mar 29, 2018
Mar 30, 20120 then
Employees (5.A)15 as of Mar 29, 2018
Apr 1, 20131,806 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1,151 to 15
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
- 15.0derived1 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
- 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
- John Charles Johnson to Money PickleJun 25, 2018 · Other
- Philip Eric Weisbach to Invest Financial CorporationJun 25, 2018 · Other
- Christopher Thomas Wells to Charles Schwab & Co., Inc.Jun 25, 2018 · Other
- Wendy Tamie Martinez to F3logic, LLCJun 25, 2018 · Other
- Dawn Renee Hoover to Concorde Asset Management, LLCJun 25, 2018 · Other
- Adam Robert Katch to Invest Financial CorporationJun 25, 2018 · Other
- Patricia Rutherford Mccallop to Cetera Investment Advisers LLCJun 25, 2018 · Other
- Daniel Eugene Wright to Cambridge Investment Research Advisors, Inc.Jun 4, 2018 · Other
- Andrew John Maertz to Nicolet Wealth ManagementApr 24, 2018 · Other
- Jonathan Richard Pearn to Advice And Planning ServicesApr 23, 2018 · Other
- Rachael Elyse Elken to Global Financial Private Capital, Inc.Apr 23, 2018 · Other
- Allan Reyes Avena to Envestnet PmcMar 19, 2018 · Other
- Kelly Lynn Bauman to Cetera Advisors LLCFeb 26, 2018 · Other
- Robert Loren Downing to Cetera Advisor Networks LLCFeb 21, 2018 · Other
- Alfredo Gomez to Sagepoint Financial, Inc.Feb 21, 2018 · Other
Joined, latest
- Laura Lynn Chamness from Highpoint Advisor Group, LLCOct 23, 2017 · Other
- Timothy Joseph Hickey from UBS Financial Services Inc.Sep 11, 2017 · Other
- Michael Patrick Speakman from Vanguard Advisers, Inc.Aug 14, 2017 · Other
- Jonathan Matthew Brady from LPL Financial LLCAug 2, 2017 · Other
- Richard Nelson Stewart from Fsc Securities CorporationJul 3, 2017 · Other
- Louis Sideropoulos from Columbia Management Investment Advisers, LLCJun 26, 2017 · Other
- Debra Lynn Seeley from B. Riley Wealth Advisors, Inc.Jun 26, 2017 · Other
- Christopher David Garcia from Strategic Advisers LLCMay 18, 2017 · Other
- Steven Mark Kenski from MML Investors Services, LLCMay 5, 2017 · Other
- Michelle Anne Hauge from Arvest Wealth ManagementApr 21, 2017 · Other
- Stephanie Rose Mullenax from LPL Financial LLCApr 17, 2017 · Other
- Lenore Joan Rostoni from LPL Financial LLCApr 17, 2017 · Other
- Sean Patrick Foley from Edward JonesApr 12, 2017 · Other
- Thomas Patrick Thorndike from Osaic Fa, Inc.Mar 13, 2017 · Other
- Joseph Edward Cohen from Wells Fargo AdvisorsMar 1, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Assetmark, Inc.Feb 13, 2018 · Los Angeles, Ca
- 2 left for Cetera Advisor Networks LLCJan 2, 2018 · El Segundo, Ca
- 2 left for Western International SecuritiesJan 2, 2018 · El Segundo, Ca
- 2 left for LPL Financial LLCJan 2, 2018 · El Segundo, Ca
- 2 left for Merrill Lynch, Pierce, Fenner & Smith IncorporatedJan 2, 2018 · El Segundo, Ca
- 2 left for Future Planning Systems, Inc.Dec 5, 2017 · Los Angeles, Ca
- 3 left for Lexco Wealth Management, Inc.Dec 1, 2017 · Los Angeles, Ca
- 3 left for The Planners Network, Inc.Nov 29, 2017 · Los Angeles, Ca
- 3 joined from Compass Point Retirement Planning, Inc.Sep 7, 2023 · Wakefield, Ma · Firm absorbed
- 2 joined from Beacon Financial GroupDec 31, 2016 · Warren, Nj
- 2 joined from Financial FocusSep 22, 2016 · Carlsbad, Ca
- 2 joined from Vsr Advisory ServicesAug 11, 2016 · Hutchinson, Ks
- 4 joined from Harbour Investments, Inc.Jul 18, 2016 · Bloomington, Mn
- 2 joined from Waddell & ReedMay 19, 2016 · Overland Park, Ks
- 5 joined from Voya Financial Advisors, Inc.Apr 22, 2016 · Edina, Mn
- 2 joined from Cetera Advisors LLCNov 10, 2015 · Iselin, Nj
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Caren Leslie Coleman · Vice Presidentcontrolsince 01/2010 · owns less than 5%
- Maura Kathryn Collins · Svp/Cfo- National Planning Holdingscontrolsince 10/2015 · owns less than 5%
- Steven Howard Dowden · President And Ceo Of National Planning Holdings, Inc.; Directorcontrolsince 02/2018 · owns less than 5%
- Gerry A Gunderson · Nph General Counsel And Svp Of Regulatory Affairscontrolsince 05/2013 · owns less than 5%
- Bradley Olan Harris · Directorcontrolsince 02/2017 · owns less than 5%
- John Charles Johnson · President/Ceo/Directorcontrolsince 01/2013 · owns less than 5%
- Vanessa Marie Rodriguez Lambrechts · Vp/Finop Controllercontrolsince 04/2013 · owns less than 5%
- Wendy Tamie Martinez · Svp Operationscontrolsince 01/2012 · owns less than 5%
- Patricia Ann Mccallop · Nph And Npc Svp Chief Compliance Officercontrolsince 06/2015 · owns less than 5%
- James Peter Miller · Nph Svp, Operationscontrolsince 02/2007 · owns less than 5%
- Jeremy Michael Stone · Vice President Compliancecontrolsince 12/2015 · owns less than 5%
Entity owners
- National Planning Holdings, Inc. · Shareholderdirect · owns 75% or more
- 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
- 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, Inc.real estaten
- Invest Financial Corporationbroker-dealerinvestment adviserreal estaten
- Invest Financial Corporation Insurance Agency Inc. Of Delawarereal estaten
- Invest Financial Corporation Insurance Agency Inc. Of Illinoisreal estaten
- Investment Centers Of America, Inc.broker-dealerinvestment adviserreal 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
- Ppm America Incinvestment adviserbankpooled vehicle sponsornRAUM $94B
- Sii Investments, Inc.broker-dealerinvestment adviserreal estaten
Advisers that list National Planning Corporation ("Npc Of America" In Fl & Ny) as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- HQ city · EL SEGUNDO to LOS ANGELESMar 29, 2018 to Jun 13, 2018
- Accounts · 35202.0 to unsetAug 8, 2017 to Mar 29, 2018
- Advisory employees · 1,151 to 2Aug 8, 2017 to Mar 29, 2018
- Advisory activities · 6 to 1Aug 8, 2017 to Mar 29, 2018
- BD registered reps · 1,714 to 13Aug 8, 2017 to Mar 29, 2018
- Charity clients · unset to 0.0Aug 8, 2017 to Mar 29, 2018
- Corporate clients · unset to 0.0Aug 8, 2017 to Mar 29, 2018
- HNW clients · unset to 0.0Aug 8, 2017 to Mar 29, 2018
- Individual clients · unset to 0.0Aug 8, 2017 to Mar 29, 2018
- Pension plan clients · unset to 0.0Aug 8, 2017 to Mar 29, 2018
- Pooled vehicle clients · unset to 0.0Aug 8, 2017 to Mar 29, 2018
- Commission compensation · true to falseAug 8, 2017 to Mar 29, 2018
- Employees · 1,725 to 15Aug 8, 2017 to Mar 29, 2018
- Insurance-licensed employees · 214 to 0Aug 8, 2017 to Mar 29, 2018
- Financial planning clients · More than 500 to 0Aug 8, 2017 to Mar 29, 2018
- State-registered IARs · 1,151 to 15Aug 8, 2017 to Mar 29, 2018
- Other offices · unset to 0.0Aug 8, 2017 to Mar 29, 2018
- Discretionary RAUM · 6302644865.0 to unsetAug 8, 2017 to Mar 29, 2018
- HNW RAUM · unset to 0.0Aug 8, 2017 to Mar 29, 2018
- Individual RAUM · unset to 0.0Aug 8, 2017 to Mar 29, 2018
- Non-discretionary RAUM · 1060904438.0 to unsetAug 8, 2017 to Mar 29, 2018
- Pension RAUM · unset to 0.0Aug 8, 2017 to Mar 29, 2018
- Pooled vehicle RAUM · unset to 0.0Aug 8, 2017 to Mar 29, 2018
- RAUM · 7363549303.0 to unsetAug 8, 2017 to Mar 29, 2018
- Accounts · 42,943 to 35,202Mar 14, 2017 to Mar 31, 2017
- Advisory employees · 1,110 to 1,151Mar 14, 2017 to Mar 31, 2017
- BD registered reps · 1,770 to 1,714Mar 14, 2017 to Mar 31, 2017
- Employees · 1,780 to 1,725Mar 14, 2017 to Mar 31, 2017
- Insurance-licensed employees · 220 to 214Mar 14, 2017 to Mar 31, 2017
- State-registered IARs · 1,110 to 1,151Mar 14, 2017 to Mar 31, 2017
- Discretionary RAUM · $4.8B to $6.3BMar 14, 2017 to Mar 31, 2017
- Non-discretionary RAUM · $3.0B to $1.1BMar 14, 2017 to Mar 31, 2017
- RAUM · $7.8B to $7.4BMar 14, 2017 to Mar 31, 2017
- Accounts · 21,912 to 42,943Mar 28, 2016 to Mar 29, 2016
- Advisory employees · 1,070 to 1,110Mar 28, 2016 to Mar 29, 2016
- BD registered reps · 1,420 to 1,770Mar 28, 2016 to Mar 29, 2016
- Employees · 1,800 to 1,780Mar 28, 2016 to Mar 29, 2016
- Insurance-licensed employees · 165 to 220Mar 28, 2016 to Mar 29, 2016
- State-registered IARs · 1,070 to 1,110Mar 28, 2016 to Mar 29, 2016
- Discretionary RAUM · $4.5B to $4.8BMar 28, 2016 to Mar 29, 2016
Signals
2 dated events
- Compass Point Retirement Planning, Inc.'s advisors moved to National Planning Corporation ("Npc OF America" IN FL & Ny) (Wakefield, MA): 3 of 3 registered, on the same daySep 7, 2023 · Firm absorbed (people side) · derived
- National Planning Corporation ("Npc Of America" In Fl & Ny) reported 15 state-registered advisory representatives, down from 1151 (2017-08-08 to 2018-03-29)Mar 29, 2018 · Advisor headcount change · derived
Across DFX
shared identifiers only, never a name match
- National Planning Corporation ("npc of America" in Fl & NY) · Private Equityshared crd · intermediary
- National Planning Co. · Venture Capitalshared crd · org
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