National Planning Holdings Inc.

National Planning Holdings Inc.

Parent of INVEST Financial Corp.

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  • No. of reps, male
  • No. of reps, female
  • No. of producing reps, male
  • No. of producing reps, female
  • No. of reps producing $500K+ /year
  • No. of CFPs
  • No. of full-time employees
  • No. of fee-based advisers served
  • Average payout per rep, per year
  • Avg. annual production of top 20% reps
  • Total payout, per year
  • Cost of E&O insurance per rep, per year
  • Affiliation fees charged per rep, per year
  • Affiliation fee coverage
  • Securities revenues
  • Securities revenues: Stocks
  • Securities revenues: Bonds
  • Securities revenues: ETFs
  • Securities revenues: Other
  • Mutual fund revenues
  • Annuities revenues
  • Annuities revenues: Fixed
  • Annuities revenues: Variable
  • Annuities revenues: Other
  • Insurance revenue
  • Insurance revenues: Life
  • Insurance revenues: Disabilities
  • Insurance revenues: LTC
  • Insurance revenues: Other
  • Alternative revenues
  • Alternative revenues: Hedge funds
  • Alternative revenues: Managed futures
  • Alternative revenues: Private placements
  • Alternative revenues: REITs
  • Alternative revenues: Other
  • Other commission revenues
  • Fee revenues: Rep-managed accounts
  • Fee revenues: Firm-managed accounts
  • Fee revenues: Outside-managed accounts
  • Fee revenues: Other
  • Fee-based assets: Clearing firm
  • Fee-based assets: Advisory firm platforms
  • Fee-based assets: Third-party money managers
  • Fee-based assets: Other
  • Is the firm, or an affiliate of the firm, registered as an investment adviser with the SEC?
  • Allows an adviser to have his/her own RIA
  • RIA platform AUM
  • Offers robo-advisory platform?
  • If not, when plans to offer a robo-platform
  • Robo-advice services offered
  • How robo-platform developed
  • Charge for robo-advisory services?

In the News

$1.3 billion advisory firm leaves NPC for Commonwealth

October 16, 2017 - Paris International, a $1.3 billion financial advisory firm based in Great Neck, N.Y., has chosen Commonwealth Financial Network as its broker-dealer, the two companies said Monday. "We are extremely pleased to welcome Paris International to Commonwealth,"...

LPL putting pressure on affiliates to recruit advisers to its corporate RIA

September 1, 2017 - LPL Financial, the nation's largest independent broker dealer, is instituting new policies to make sure more new advisers joining the firm will use its corporate registered investment adviser. In a memo sent to LPL advisers this week, Andy Kalbaugh, LPL...

For small B-Ds, becoming part of a branch office of a larger firm is a viable exit strategy

August 25, 2017 - LPL Financial's acquisition this month of the National Planning Holdings Inc. network of four broker-dealers with 3,200 reps and advisers certainly has the independent broker-dealer industry abuzz, but transactions involving smaller broker-dealers are...

Is LPL's deal sweet enough for NPH's 3,200 reps and advisers?

August 16, 2017 - LPL Financial's deal to acquire the National Planning Holdings Inc. broker-dealer network was embraced by Wall Street on Wednesday, but the 3,200 NPH registered reps and advisers who manage $120 billion in client assets must evaluate the deal on their...

LPL Financial buys NPH, a broker-dealer network with 3,200 advisers

August 15, 2017 - After weeks of speculation, LPL Financial said on Tuesday it had completed the purchase of National Planning Holdings Inc., an independent broker-dealer network with 3,200 advisers. The deal is structured as an asset purchase with an initial price of...

National Planning Holdings CEO to advisers: No comment on LPL takeover talk

August 9, 2017 - With speculation swirling about an imminent sale of the four National Planning Holdings Inc. broker-dealers, the network's CEO, Scott E. Romine, last week took the extraordinary step to send an email to the 3,500 reps and advisers affiliated with the...

5 steps for independent advisers considering a broker-dealer transition in a post-DOL environment

May 26, 2016 - If in the past advisers transitioning to a different broker-dealer were spurred by the potential to achieve more growth, the next wave of adviser migrations will almost certainly be driven by the new challenges created in a post-DOL environment. But transitions...

Adviser technology is now all about the client

February 8, 2015 - Financial advisers are addressing how best to invest in technology from a fresh perspective, according to the 2015 InvestmentNews Adviser Technology Study. A myopic concentration on costs and on the immediate impact on profits is giving way to client...

Client demand for simpler technology challenges independent broker-dealers

January 25, 2015 - An increasingly tech-savvy investor base is challenging independent broker-dealers to meet the demand for simple technology in a way that fits into the complexities of advisers' businesses and keeps investors' personal information protected. “The benchmark...

What's next in adviser technology?

January 25, 2015 - InvestmentNews hosted a roundtable of technology executives from independent broker-dealers and custodians to learn about the biggest issues they're tackling, what they're hearing from advisers and what they plan to focus on next. Here's what they had...

    Notes
  • N/A = Not available
  • N/D = Not disclosed
  • — = Information not available or not disclosed

All 2011-2016 recruitment and staffing data is as of Dec. 31 in the calendar year displayed. Prior year recruitment and staffing data is as of Sept. 30. All financial figures are for firms' year end, unless noted.

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