NPA ASSET MANAGEMENT, LLC
Adviser information for NPA ASSET MANAGEMENT, LLC last updated from Form ADV on March 28th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 71 |
|---|---|
| Investment Advisory/Research | 53 |
| Registered Broker-Dealer Representatives | 53 |
| Registered State Investment Advisers | 53 |
| Licensed Agents of an Insurance Company | 53 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,451 | $336.1M |
| Non-Discretionary | 1,402 | $546.5M |
| Total | 2,853 | $882.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 1,573 | $253.1M |
| HNW Individuals | 818 | $413.9M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 380 | $138.0M |
| Charitable organizations | <5 | $3.9M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 78 | $73.8M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 2853 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)TACTICAL ASSET ALLOCATION |
|---|---|
| Compensation | % of AUMFixed feesREFERRAL FEES |
| Other Business Activities | Broker-dealerInsurance broker or agent |
Identifiers
| SEC RIA File Number | 801-66006 |
|---|---|
| SEC ERA File Number | 801-66006 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 131534 |
| Legal Entity Identifier | None |
Principal Office
32-16 BROADWAY 2ND FLOORFAIR LAWN
NJ
United States
Monday - Friday, 8:30 A.M. TO 5:00 P.M.
Tel: 201-476-0029, Fax: 201-476-0132
Websites
Chief Compliance Officer
JAMES S COLLEARY
CCO
32-16 BROADWAY 2ND FLOOR
FAIR LAWN
NJ
United States
Tel:
201-476-0029
Fax:
201-476-0132
J********@*********************M
(Full email address available in API data)
Regulatory Contact
MARIYA SENDYK
OPERATIONS PRINCIPAL
32-16 BROADWAY 2ND FLOOR
FAIR LAWN
NJ
United States
Tel:
2014760029
Fax:
2014760132
M******@*********************M
(Full email address available in API data)
Industry Affiliates
| NATIONWIDE PLANNING ASSOCIATES INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| NPA INSURANCE AGENCY, INC. | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| DE POL, MICHAEL, JOHN | Individual | – | FOUNDER AND CHAIRMAM OF THE BOARD | 10/1992 | 50-75% |
| KARALEWICH, MICHAEL, J | Individual | – | CHIEF EXECUTIVE OFFICER | 05/2015 | < 5% |
| ABRAMENKO, PETER | Individual | – | CO-CHAIRMAN OF THE BOARD | 09/2009 | 50-75% |
| COLLEARY, JAMES, S | Individual | – | CHIEF COMPLIANCE OFFICER | 05/2015 | < 5% |