NFP RETIREMENT INC.
Latest filing: Apr 16, 2025 (69 days ago)
AUM
$118,031,461,765
22% change vs. 1 year ago
50% change vs. 3 years ago
99% change vs. 5 years ago
328% change vs. 10 years ago
Employee Count
240
10% change vs. 1 year ago
11% change vs. 3 years ago
26% change vs. 5 years ago
220% change vs. 10 years ago
Main Office
ALISO VIEJO, CA
120 VANTIS, ALISO VIEJO, CA, UNITED STATES, 92656
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $29.0 |
| Non-Discretionary | $89.1 |
| Total | $118.0 |
| Client | AUM |
|---|---|
| Retail | $2.0 |
| Pooled | $0.0 |
| Institutional | $116.0 |
| Total | $118.0 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 3,409 | $0.5 |
| Average Individual AUM | $159,374 | |
| HNW | 633 | $1.5 |
| Average HNW AUM | $2,313,855 | |
| Retail Total | 4,042 | $2.0 |
| Average Retail AUM | $496,778 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
SMA Custodians
| Custodian | Location | AUM |
|---|---|---|
| CHARLES SCHWAB & CO., INC. | SAN FRANCISCO-CA-USA | $1.0 |
| FIDELITY BROKERAGE SERVICES LLC | BOSTON-MA-USA | $0.2 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $118.0 |
| Retail SMA AUM | $2.0 |
| Institutional SMA AUM | $116.0 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 8% | $9.4 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 2% | $2.4 |
| Municipal | 0% | $0.0 |
| Sovereign | 0% | $0.0 |
| IG Credit | 1% | $1.2 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 79% | $93.2 |
| Other Pools | 1% | $1.2 |
| Cash | 9% | $10.6 |
| Other | 0% | $0.0 |
| Total | 100% | $118.0 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
Affiliates
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| FIDUCIENT ADVISORS LLC | $67.6 | 106720 | |
| WEALTHSPIRE ADVISORS LLC | $25.8 | 106181 | |
| FIDUCIARY FIRST, LLC | $5.2 | 150330 | |
| DIVERGENT WEALTH ADVISORS, LLC | $0.6 | 286383 | |
| ACCOUNTANTS PROPRIETARY FINANCIAL SERVICENET, INC. | $0.5 | 126685 | |
| SST BENEFITS CONSULTING & INSURANCE SERVICES, INC. | $0.3 | 288129 | |
| NFP PROPERTY & CASUALTY SERVICES, INC. | $0.0 | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Control Persons
20 active
| Name | Title |
|---|---|
| SHAPIRO, JOEL, BARRY | PRESIDENT, TREASURER |
| SCHNEIDER, BRETT, RONALD | DIRECTOR |
| MOO, VERONICA, EI CHUN | DIRECTOR |
| O'MALLEY, EDWARD, GEORGE | DIRECTOR |
| JONES, KAMERON, ALEXANDER | SENIOR VICE PRESIDENT |
| STEWART, SOLOMON, JOHN | SENIOR VICE PRESIDENT |
| KEELING, GEOFFREY, VINCENT | CHIEF INVESTMENT OFFICER |
| DOWLING, HANNAH | ASSISTANT VICE PRESIDENT |
| YU, BRIAN, J | CHIEF COMPLIANCE OFFICER |
| ESPINOZA, JESSICA, BONARDI | MANAGING DIRECTOR |
| GOLDSTEIN, JUSTIN | SENIOR VICE PRESIDENT |
ADVDB.CO • SOURCE: SEC
Representatives
130 active representatives found, showing 20 random
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| JOHN NELSON | ALISO VIEJO | CA | S63|2000-06-01|S65|2005-08-06 | ||||||
| PATRICK ILCIN | ALISO VIEJO | CA | S65|2021-12-13 | ||||||
| APRIL CAMP | ALISO VIEJO | CA | S65|2021-10-30 | ||||||
| MATTHEW STEWART | ALISO VIEJO | CA | S66|2013-11-20 | ||||||
| LISA CONTE | ALISO VIEJO | CA | S65|2022-04-04 | ||||||
| JAMIE ROBINSON | ALISO VIEJO | CA | S63|1994-10-20|S66|2023-05-12 | ||||||
| NICHOLAS WALKER | ALISO VIEJO | CA | S63|2015-09-24 | CERTIFIED FINANCIAL PLANNER | |||||
| CHRISTOPHER LANGSTAFF | ALISO VIEJO | CA | S65|2015-12-02|S63|2015-10-16 | CHARTERED FINANCIAL ANALYST | |||||
| PETER SCHMITZ | ALISO VIEJO | CA | S63|2005-11-29|S66|2011-11-29 | CERTIFIED FINANCIAL PLANNER|CHARTERED FINANCIAL ANALYST | |||||
| BETH KRASNOW | ALISO VIEJO | CA | |||||||
| BRADLEY LARSEN | ALISO VIEJO | CA | S63|1995-08-07|S65|2007-05-08 | ||||||
| DUSTIN ELLIOT | ALISO VIEJO | CA | S65|2023-05-01 | ||||||
| JOHN LIVINGSTON | ALISO VIEJO | CA | S63|1992-10-30|S65|1993-01-29 | CERTIFIED FINANCIAL PLANNER | |||||
| KRISTEN ECHOLS | ALISO VIEJO | CA | S66|2020-12-29 | ||||||
| KYLE OLSON | ALISO VIEJO | CA | S63|2011-10-06|S65|2012-12-13 | CHARTERED FINANCIAL ANALYST | |||||
| ZACHARY HULL | ALISO VIEJO | CA | S66|2012-06-28 | ||||||
| PAUL WEINBERG | ALISO VIEJO | CA | S65|2023-06-06 | ||||||
| TODD HOPPOCK | ALISO VIEJO | CA | S63|1992-11-05|S66|2006-03-06 | ||||||
| JUDD BERUBE | ALISO VIEJO | CA | S66|2007-10-25 | ||||||
| BARBARA HEALY | ALISO VIEJO | CA | S63|1980-11-13|S66|2005-12-15 | CERTIFIED FINANCIAL PLANNER | |||||
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-05-02 | $118.0 | $0.0 | 0% | 240 | 0 | 0% |
| 2025-04-21 | $118.0 | $0.0 | 0% | 240 | 0 | 0% |
| 2024-04-02 | $96.5 | $21.6 | 22% | 219 | 21 | 10% |
| 2023-04-04 | $75.0 | $43.0 | 57% | 251 | -11 | -4% |
| 2022-04-01 | $78.7 | $39.3 | 50% | 217 | 23 | 11% |
| 2021-04-05 | $69.3 | $48.8 | 70% | 151 | 89 | 59% |
| 2020-04-01 | $59.2 | $58.8 | 99% | 191 | 49 | 26% |
| 2019-04-01 | $56.7 | $61.3 | 108% | 162 | 78 | 48% |
| 2018-04-02 | $47.5 | $70.5 | 148% | 162 | 78 | 48% |
| 2017-04-01 | $42.7 | $75.3 | 176% | 135 | 105 | 78% |
| 2016-04-01 | $34.9 | $83.2 | 239% | 105 | 135 | 129% |
| 2015-04-01 | $27.6 | $90.5 | 328% | 75 | 165 | 220% |
| 2014-04-01 | $28.5 | $89.5 | 314% | 75 | 165 | 220% |
| 2013-04-01 | $16.7 | $101.4 | 608% | 56 | 184 | 329% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| CA, AK-09/27/2023, AL-08/22/2011, AR-11/29/2023, AZ-11/21/2016, CA-03/05/2003, CO-02/08/2016, CT-09/27/2023, DC-08/13/2020, DE-01/20/2023, FL-05/10/2013, GA-05/09/2013, HI-09/27/2023, IA-02/08/2016, ID-02/08/2016, IL-05/04/2012, IN-03/30/2022, KS-09/27/2023, KY-03/04/2013, LA-12/05/2014, MA-03/04/2013, MD-08/13/2020, ME-03/30/2022, MI-08/08/2014, MN-05/09/2016, MO-05/10/2023, MS-11/29/2023, MT-03/30/2022, NC-09/17/2021, ND-03/07/2023, NE-03/30/2022, NH-11/29/2023, NJ-01/20/2023, NM-08/15/2022, NV-09/27/2023, NY-03/30/2022, OH-12/03/2020, OK-06/29/2023, OR-03/06/2017, PA-01/02/2008, PR-09/23/2020, RI-08/22/2023, SC-09/17/2021, SD-09/27/2023, TN-03/30/2022, TX-07/14/2011, UT-07/28/2022, VA-02/08/2016, VT-11/29/2023, WA-09/11/2023, WI-06/14/2019, WV-01/20/2023, WY-08/13/2020 |
| ADVISER ACTIVITIES |
|
FINANCIAL PLANNING PORTFOLIO MANAGEMENT PENSION CONSULTING MANAGER SELECTION |
| OTHER ACTIVITIES |
ADVDB.CO • SOURCE: SEC FORM ADV