Nfp Securities, Inc. (Austin)

Name: Nfp Securities, Inc.
Address: 1250 Capital Of Texas Highway S., Austin, TX, 78746
Telephone: 512-697-6000

Nfp Securities, Inc. is a large advisory firm based in Austin. It manages $10.85 billion of regulatory assets for 47,541 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 49 other states.

Nfp Securities provides financial planning services, portfolio management for individuals and small businesses, pension consulting services, and selection of other advisers. It prepares financial plans for approximately 2,500 clients. On top of advisory services, the firm doesn't engage in other business activities.

Nfp Securities: assets under management

The assets under management (AUM) of Nfp Securities, Inc. is $10.85 billion. The firm's AUM has grown by 2681% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $5.72 billion in discretionary accounts and $5.14 billion in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $224.53 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $232.56 thousand.

Nfp Securities has custody of $42.45 million in cash and securities for 365 clients in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Nfp Securities, Inc. for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Nfp Securities, Inc.

Jessica Marilyn Bibliowicz has been acting as President since 1 Jun 1999. Patriot Intermediate Holdings B. Corp. joined the executive team most recently as the Owner.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Gary James Fegley	President, secretary, treasurer	1 Oct 1996	Other	205531
Inc. Partners Holdings	Shareholder	1 Oct 1996	75% - 100%	74-2667927
Robert Randolph Carter	Director	1 Aug 1997	Other	1046066
Jessica Marilyn Bibliowicz	Chairman	1 Jun 1999	Other	2181807
Brian Clinton Propes	Chief operations officer	1 Feb 2000	Other	1174493
Dodd Lee Mcgough	Chief compliance officer	1 Feb 2001	Other	2107681
Kurt Emmanuel Morales	Controller, financial principal	1 Feb 2001	Other	4270192
Michael Blaine Blankenship	Director advisory services	1 Feb 2001	Other	1662825
Brian Clinton Propes	Vice president-chief operating officer	1 Feb 2001	Other	1174493
Richard Bruce Callahan	Director	1 Apr 2001	Other	38592
Gary James Fegley	Exec vice president-investment & advisory svcs	1 Jul 2001	Other	205531
Jeffrey Alan Montgomery	Chief executive officer	1 Jul 2001	Other	2429245
National Financial Partners	Shareholder	1 Sep 2001	75% - 100%	13-4029115
National Financial Partners Corp	100% shareholder	1 Sep 2001	75% - 100%	13-4029115
James Lynn Poer	Vice president advisory services	1 Feb 2003	Other	1983357
Robert Bredt Norwood	General counsel	1 Jul 2003	Other	2536685
Herbert Aloysius Pontzer	Senior vice president - chief compliance officer	1 Dec 2003	Other	1586982
Lori Michelle Freed	Vice president	1 Feb 2004	Other	xxx-xx-xxxx
Alexander Martens Herring	Vice president	1 Feb 2004	Other	2611219
Michael Joseph Forsythe	Senior vice president, chief financial officer	1 Jul 2004	Other	4691905
John Derrick Bergstrom	Vice president	1 Jul 2004	Other	2152929
Robert Antoine Jansen	Vice president	1 Jan 2005	Other	1401264
Paul Roger Osterberg	Senior vice president	1 Feb 2005	Other	4773473
Brian Clinton Propes	President, chief operating officer, chief compliance officer	1 Mar 2005	Other	1174493
Jeffrey Alan Montgomery	Chief executive officer	1 Mar 2005	Other	2429245
James Lynn Poer	Senior vice president	1 Jul 2005	Other	1983357
Gary David Wachs	Senior vice president, chief compliance officer	1 Aug 2005	Other	1208274
John Michael Mcgivney	Vice president	1 Aug 2005	Other	1001787
Doran Estus Jr Bradberry	Vp, controller, finop	1 Nov 2005	Other	867520
Mark D Grosvenor	Senior vice president technology	1 Jan 2006	Other	5087570
Brian David Coventry	Vice president	1 Jan 2006	Other	2687200
Richard Dale Keidan	Director	1 Jun 2006	Other	1173501
Kenneth Dean Jones	Vice president investment products	1 Nov 2006	Other	2396567
Yin Yin	Controller	1 Sep 2007	Other	3219513
Daniel Jonathan Young	Chief executive officer, president	1 Mar 2008	Other	4311062
James Roderick Gelder	Director	1 Mar 2008	Other	1018471
James Lynn Poer	President, board of directors	1 Jul 2008	Other	1983357
David Matthew Janecek	Director	1 Oct 2008	Other	2268600
John Derrick Bergstrom	Vp advisory services	1 Nov 2008	Other	2152929
John Patrick Vanderheyden	Svp - coo	1 Jan 2009	Other	2235802
Carl Lance Huntley	Avp, acting chief compliance officer	1 Mar 2010	Other	2689997
Susanne Marie Denby	Svp, chief compliance officer	1 Jun 2010	Other	2617514
Michael Ross Pedlow	Vp, advisory serivces compliance officer	1 Jun 2010	Other	4871563
Kristen Sanders Whisnant	Senior vice president, advisory & investment services	1 Dec 2010	Other	4341716
Kristen Sanders Leclair	Senior vice president, advisory & investment services	1 Dec 2010	Other	4341716
Douglas W Hammond	Director	1 Feb 2012	Other	4372071
Douglas W Hammond	Chairman, director	1 May 2013	Other	4372071
Annemarie Veronica Long	Director	1 May 2013	Other	1294799

Indirect Owners

The SEC currently registers 10 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
National Financial Partners	Shareholder	1 Jan 1999	75% - 100%	13-4029115
L.P. Apollo Investment Fund Iv	Shareholder	1 Jan 1999	75% - 100%	13-3985622
L.P. Apollo Advisors Iv	General partner	1 Jan 1999	Other	13-3582975
Inc. Apollo Capital Management Iv	General partner	1 Jan 1999	Other	13-3983721
Patriot Intermediate Holdings B. Corp.	Owner	1 Jul 2013	75% - 100%	46-2704384
Patriot Intermediate Holdings A. Corp.	Owner	1 Jul 2013	75% - 100%	46-2723281
Llc Patriot Investment Holdings	Owner	1 Jul 2013	75% - 100%	30-0781325
L.P. Madison Dearborn Partners Vi A&C	Manager and gp of other managers	1 Jul 2013	Other	26-1267403
Madison Dearborn Partners	Managing member	1 Jul 2013	Other	157349
L.P. Madison Dearborn Capital Partners Vi A	Owner	1 Jul 2013	75% - 100%	26-1274415

Based in Austin

The principal office where Nfp Securities, Inc. performs its advisory services is located at 1250 Capital Of Texas Highway S., Austin, TX 78746, which is also the mailing address of the firm. An additional office of the firm is in Chevy Chase, MD. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 512-697-6000 or by fax 512-697-5000. The normal business hours are 8 a.m. to 5 p.m. cst on Monday - Friday. You can find more information about the New York firm at www.nfpsecurities.com.