NFP RETIREMENT INC.
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NFP RETIREMENT INC.
(CRD# 121254)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Aliso Viejo, CA.
The SEC approved the firm to operate as an RIA in
Jan 2006.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$56.7 Billion,
with discretion over
10%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
0%
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NFP RETIREMENT INC.
also reported in
Mar 2019
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162
employees,
with
78
performing advisory functions.
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A total of 27 office locations.
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No registrations with foreign financial regulatory authorities.
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NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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NFP RETIREMENT INC. has no disclosure events reported to the SEC at this time.
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NFP RETIREMENT INC. has Notice Filings with the following State Securities Authorities:
AL-Aug 2011, AZ-Nov 2016, CA-Mar 2003, CO-Feb 2016, FL-May 20
, GA-May 2013, IA-Feb 2016, ID-Feb 2016, IL-May 2012, KY-Mar 2
, LA-Dec 2014, MA-Mar 2013, MI-Aug 2014, MN-May 2016, OR-Mar 2
, PA-Jan 2008, TX-Jul 2011, VA-Feb 2016
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The information presented above was gleaned
from the SEC website and is believed to be
accurate. FindingFraud.org is
presenting this data for informational
purposes only and assumes no responsibility
for errors or omissions. Please note
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SEC. Feel free to contact
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