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

Nfp Advisor Services, LLC

Former SEC-registered adviserAustin, TexasCRD 42046SEC 801-IAPD
Latest filing Jul 27, 2016
First filing on the tape Mar 30, 2012 · 19 filings
RAUM
$12B
reported, Item 5.F
Discretionary
63%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1,159
1,159 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$12B as of Mar 7, 2016
Mar 30, 2012$8.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)1,159 as of Mar 7, 2016
Apr 1, 2013860 then
Employees (5.A)1,159 as of Mar 7, 2016
Apr 1, 2013860 then
Private funds: no history
RAUM +3.0% over the last fiscal year+10% a year over threeIARs 950 to 1,159
Practice profile
derived from the filing of Jul 27, 2016; every figure names its basis
RAUM per advisor
$10.6MderivedRAUM 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
$225,208derivedRAUM over accounts (5.F.2.f)
Discretionary
63%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
193.2derived6 offices incl. principal (1.F.5)
RAUM growth, one year
+3.0%derivedbetween the last two annual amendments
Advisor growth, one year
+22%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
Financial planning clients
2,500reportedItem 5.H
Custody
$40.1M, 309 clientsreportedItem 9.A
Ownership
a PE fund or sponsor is a 25 percent or greater owner 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
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
54,412reported
Financial planning clients
2,500reported
Wrap fee programs
noreported
Custody of client assets
$40.1M for 309 clientsreported
Compensation
% of AUM, fixed, hourlyreported
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
  • Mark D Grosvenor · Svp, Technologycontrol
    since 01/2006 · owns less than 5%
  • Kristen Sanders Leclair · Svp, Advisory & Investment Servicescontrol
    since 12/2010 · owns less than 5%
  • Michael Ross Pedlow · Svp, Chief Compliance Officercontrol
    since 04/2015 · owns less than 5%
  • James Lynn Poer · Presidentcontrol
    since 07/2008 · owns less than 5%
  • John Patrick Vanderheyden · Evp, Chief Operating Officercontrol
    since 01/2009 · owns less than 5%
  • Yin Yin · Controller
    since 09/2007 · owns less than 5%
Entity owners
  • Nfp Advisor Services Holdings D, Inc · Sole Member
    direct · owns 75% or more
  • Madison Dearborn Capital Partners Vi-A, L.P. · Owner
    indirect · owns 75% or more of Nfp Holdings, LLC
  • Madison Dearborn Partners · Managing Member
    indirect · owns F of Madison Dearborn Partners Vi-A&C, L.P.
  • Madison Dearborn Partners Vi-A&C, L.P. · Manager And Gp Of Other Managers
    indirect · owns F of Madison Dearborn Partners Vi-A,, L.P.
  • Nfp Advisor Services Holdings A, Inc · Owner
    indirect · owns 75% or more of Nfp Advisor Services Holdings B, Inc
  • Nfp Advisor Services Holdings B, Inc · Owner
    indirect · owns 75% or more of Nfp Advisor Services Holdings C, Inc
  • Nfp Advisor Services Holdings C, Inc · Owner
    indirect · owns 75% or more of Nfp Advisor Services Holdings D, Inc
  • Nfp Holdings, LLC · Owner
    indirect · owns 75% or more of Nfp Parent Co, LLC
  • Nfp Parent Co, LLC · Owner
    indirect · owns 75% or more of Nfp Advisor Services Holdings A, Inc
Related persons
Schedule D 7.A
Advisers that list Nfp Advisor Services, LLC as a related person
Offices
Schedule D 1.F, the 25 largest
  • Bethesda, MD
  • Excelsior, MN
  • Houston, TX
  • New York, NY
  • Timonium, MD
What changed
consecutive filings, newest first
  • Accounts · 50,608 to 54,412
    Nov 13, 2015 to Mar 7, 2016
  • Advisory employees · 957 to 1,159
    Nov 13, 2015 to Mar 7, 2016
  • BD registered reps · 950 to 1,139
    Nov 13, 2015 to Mar 7, 2016
  • Assets in custody · $40.9M to $40.1M
    Nov 13, 2015 to Mar 7, 2016
  • Employees · 957 to 1,159
    Nov 13, 2015 to Mar 7, 2016
  • Insurance-licensed employees · 30 to 19
    Nov 13, 2015 to Mar 7, 2016
  • State-registered IARs · 950 to 1,159
    Nov 13, 2015 to Mar 7, 2016
  • Discretionary RAUM · $6.8B to $7.7B
    Nov 13, 2015 to Mar 7, 2016
  • Non-discretionary RAUM · $5.1B to $4.5B
    Nov 13, 2015 to Mar 7, 2016
  • RAUM · $12B to $12B
    Nov 13, 2015 to Mar 7, 2016
  • Accounts · 47,541 to 50,608
    Sep 30, 2014 to Mar 31, 2015
  • Advisory employees · 890 to 957
    Sep 30, 2014 to Mar 31, 2015
  • BD registered reps · 890 to 950
    Sep 30, 2014 to Mar 31, 2015
  • Assets in custody · $42.5M to $40.9M
    Sep 30, 2014 to Mar 31, 2015
  • Employees · 890 to 957
    Sep 30, 2014 to Mar 31, 2015
  • Insurance-licensed employees · 23 to 30
    Sep 30, 2014 to Mar 31, 2015
  • State-registered IARs · 890 to 950
    Sep 30, 2014 to Mar 31, 2015
  • Discretionary RAUM · $5.7B to $6.8B
    Sep 30, 2014 to Mar 31, 2015
  • Non-discretionary RAUM · $5.1B to $5.1B
    Sep 30, 2014 to Mar 31, 2015
  • RAUM · $11B to $12B
    Sep 30, 2014 to Mar 31, 2015
  • Succession · true to false
    Sep 30, 2014 to Mar 31, 2015
  • Succession · false to true
    Sep 23, 2014 to Sep 30, 2014
  • Business name · NFP SECURITIES, INC. to NFP ADVISOR SERVICES, LLC
    Sep 2, 2014 to Sep 23, 2014
  • Legal name · NFP SECURITIES, INC. to NFP ADVISOR SERVICES, LLC
    Sep 2, 2014 to Sep 23, 2014
  • Organization form · Corporation to Limited Liability Company
    Apr 10, 2014 to Sep 2, 2014
  • Accounts · 41,393 to 47,541
    Jun 11, 2013 to Mar 3, 2014
  • Advisory employees · 860 to 890
    Jun 11, 2013 to Mar 3, 2014
  • BD registered reps · 860 to 890
    Jun 11, 2013 to Mar 3, 2014
  • Assets in custody · $47.2M to $42.5M
    Jun 11, 2013 to Mar 3, 2014
  • Employees · 860 to 890
    Jun 11, 2013 to Mar 3, 2014
  • Insurance-licensed employees · 20 to 23
    Jun 11, 2013 to Mar 3, 2014
  • State-registered IARs · 860 to 890
    Jun 11, 2013 to Mar 3, 2014
  • Discretionary RAUM · $4.7B to $5.7B
    Jun 11, 2013 to Mar 3, 2014
  • Non-discretionary RAUM · $4.4B to $5.1B
    Jun 11, 2013 to Mar 3, 2014
  • RAUM · $9.1B to $11B
    Jun 11, 2013 to Mar 3, 2014
  • Accounts · 40,695 to 41,393
    Apr 30, 2012 to Apr 1, 2013
  • Advisory employees · unset to 860.0
    Apr 30, 2012 to Apr 1, 2013
  • BD registered reps · unset to 860.0
    Apr 30, 2012 to Apr 1, 2013
  • Assets in custody · $22.3M to $47.2M
    Apr 30, 2012 to Apr 1, 2013
  • Employees · unset to 860.0
    Apr 30, 2012 to Apr 1, 2013
Signals
1 dated events
  • Nfp Advisor Services, Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)
    Sep 30, 2014 · Succession (Item 4) · fact
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