Nfp Securities, Inc. (Austin)


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. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. 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.

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