NFP RETIREMENT INC.
Adviser information for NFP RETIREMENT INC. last updated from Form ADV on March 27th, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 219 |
|---|---|
| Investment Advisory/Research | 131 |
| Registered Broker-Dealer Representatives | 27 |
| Registered State Investment Advisers | 131 |
| Licensed Agents of an Insurance Company | 30 |
| No. of Firms/People that Solicit Clients | 55 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 4,042 | $19.5B |
| Non-Discretionary | 1,472 | $76.9B |
| Total | 5,514 | $96.5B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 1,723 | $301.4M |
| HNW Individuals | 396 | $858.0M |
| 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 | 1,854 | $95.3B |
| Charitable organizations | 0 | $0 |
| 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 | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 30 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 2000 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers)RESEARCH REPORTS ON 401(K) PLANS / DILIGENCE ON INVESTMENT LINEUPS |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-66107 |
|---|---|
| SEC ERA File Number | 801-66107 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 121254 |
| Legal Entity Identifier | None |
Principal Office
120 VANTISSUITE 400
ALISO VIEJO
CA
United States
Monday - Friday, 8:30AM - 4:30PM
Tel: 949.460.9898, Fax: 949.460.9893
Chief Compliance Officer
BRIAN YU
CHIEF COMPLIANCE OFFICER
120 VANTIS
ALISO VIEJO
CA
United States
Tel:
949.305.3759
B*******@******M
(Full email address available in API data)
Industry Affiliates
| ACCOUNTANTS PROPRIETARY FINANCIAL SERVICENET, INC. | Other investment adviser, including financial planners |
| DIVERGENT WEALTH ADVISORS, LLC | Other investment adviser, including financial planners |
| FIDUCIARY FIRST | Other investment adviser, including financial planners |
| FIDUCIENT ADVISORS LLC | Other investment adviser, including financial planners |
| NFP PROPERTY & CASUALTY SERVICES, INC. | Insurance company or agency |
| SST BENEFITS CONSULTING | Other investment adviser, including financial planners |
| WEALTHSPIRE ADVISORS | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SHAPIRO, JOEL, BARRY | Individual | – | PRESIDENT, TREASURER | 05/2023 | < 5% |
| MADISON DEARBORN PARTNERS, LLC | Domestic Entity | PATRIOT SPV GP, L.P. | GENERAL PARTNER | 03/2021 | |
| NFP CORP. | Foreign Entity | – | SHAREHOLDER | 07/2006 | > 75% |
| SCHNEIDER, BRETT, RONALD | Individual | – | DIRECTOR | 01/2009 | < 5% |
| NFP INTERMEDIATE HOLDINGS B. CORP. | Domestic Entity | NFP CORP. | OWNER | 07/2013 | > 75% |
| NFP INTERMEDIATE HOLDINGS A. CORP. | Domestic Entity | NFP INTERMEDIATE HOLDINGS B. CORP. | OWNER | 07/2013 | > 75% |
| NFP PARENT CO, LLC | Domestic Entity | NFP INTERMEDIATE HOLDINGS A. CORP. | OWNER | 10/2014 | > 75% |
| NFP HOLDINGS, LLC | Domestic Entity | NFP PARENT CO, LLC | OWNER | 07/2013 | > 75% |
| NFP ULTIMATE HOLDINGS, LLC | Domestic Entity | NFP HOLDINGS, LLC | OWNER | 02/2017 | > 75% |
| MOO, VERONICA, EI CHUN | Individual | – | DIRECTOR | 07/2017 | < 5% |
| O'MALLEY, EDWARD, GEORGE | Individual | – | DIRECTOR | 02/2015 | < 5% |
| PATRIOT SPV, L.P. | Domestic Entity | NFP ULTIMATE HOLDINGS, LLC | OWNER | 03/2021 | 25-50% |
| PATRIOT SPV GP, L.P. | Domestic Entity | PATRIOT SPV, L.P. | GENERAL PARTNER | 03/2021 | |
| JONES, KAMERON, ALEXANDER | Individual | – | SENIOR VICE PRESIDENT | 05/2023 | < 5% |
| Stewart, Solomon, John | Individual | – | SENIOR VICE PRESIDENT | 05/2023 | < 5% |
| KEELING, GEOFFREY, VINCENT | Individual | – | CHIEF INVESTMENT OFFICER | 05/2023 | < 5% |
| Dowling, Hannah | Individual | – | ASSISTANT VICE PRESIDENT | 05/2023 | < 5% |
| Yu, Brian, J | Individual | – | CHIEF COMPLIANCE OFFICER | 06/2023 | < 5% |
| ESPINOZA, JESSICA, BONARDI | Individual | – | MANAGING DIRECTOR | 03/2024 | < 5% |
| Goldstein, Justin | Individual | – | SENIOR VICE PRESIDENT | 03/2024 | < 5% |