FIDUCIARY FIRST
FIDUCIARY FIRST, LLC Legal Name
Adviser information for FIDUCIARY FIRST 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Florida, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 53 | $2.4B |
| Non-Discretionary | 46 | $944.1M |
| Total | 99 | $3.3B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| 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 | 38 | $3.3B |
| 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 | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Pension consulting services |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesVALUE OF PLAN ASSETS |
Identifiers
| SEC RIA File Number | 801-72234 |
|---|---|
| SEC ERA File Number | 801-72234 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 150330 |
| Legal Entity Identifier | None |
Principal Office
1060 MAITLAND CENTER COMMONSSUITE 360
MAITLAND
FL
United States
Monday - Friday, 8:30 A.M. - 5:30 P.M.
Tel: 407.740.6111, Fax: 407.740.6113
Websites
Chief Compliance Officer
BRIAN YU
CHIEF COMPLIANCE OFFICER
120 VANTIS
SUITE 400
ALISO VIEJO
CA
United States
Tel:
949.309.3759
B*******@******M
(Full email address available in API data)
Industry Affiliates
| NFP PROPERTY & CASUALTY SERVICES, INC. | Insurance company or agency |
| NFP RETIREMENT INC. | Other investment adviser, including financial plannersPension consultant |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SCHNEIDER, BRETT, RONALD | Individual | – | DIRECTOR | 01/2009 | < 5% |
| NFP RETIREMENT INC. | Domestic Entity | – | SHAREHOLDER | 10/2018 | > 75% |
| MOO, VERONICA, EI CHUN | Individual | – | DIRECTOR | 07/2017 | < 5% |
| O'MALLEY, EDWARD, GEORGE | Individual | – | DIRECTOR | 02/2015 | < 5% |
| NFP CORP. | Domestic Entity | NFP RETIREMENT INC. | OWNER | 11/2017 | > 75% |
| 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% |
| MADISON DEARBORN PARTNERS | Domestic Entity | PATRIOT SPV GP, L.P. | GENERAL PARTNER | 07/2013 | |
| 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 | |
| Yu, Brian, J | Individual | – | CHIEF COMPLIANCE OFFICER | 06/2023 | < 5% |
| SHAPIRO, JOEL, BARRY | Individual | – | PRESIDENT | 05/2023 | < 5% |
| Dowling, Hannah | Individual | – | ASSISTANT VICE PRESIDENT | 05/2023 | < 5% |