CFD Investments Inc.

CFD Investments Inc.


2704 S. Goyer Road

Kokomo, IN 46902

(800) 745-7776

Clearing firm: National Financial Services LLC

No. advisers: 162

No. franchises: 1

Year founded: 1990

Year end: Dec. 31

No. of retail offices: 138

For More Information

CEOBrent A. Owens
Top ExecutiveBrent A. Owens
Recruiting ContactBrent A. Owens
(800) 745-7776 ext. 3006
Compliance ContactMatthew O. Bahrenburg
(765) 453-9600 Ext. 3030
Marketing ContactRob Floyd
(800)745-7776 Ext. 3036
Technology Operations ContactGerry Good
(765) 453-9600 Ext. 3031

Recruitment & Staffing

2020 2019 2018
No. of reps150162201
No. of reps, male172
No. of reps, female29
No. of producing reps138152173
No. of producing reps, male154
No. of producing reps, female15
No. of reps producing $100K-$499K /year495975
No. of reps producing $500K+ /year151512
No. of CFPs0026
No. of full-time employees525447
No. of fee-based advisers served9099162
Average payout per rep, per year$194,582$177,257$184,681
Avg. annual production of top 20% reps$582,743$356,687$486,100
Total payout, per year$26,852,406$27,297,146$24,703,514
Cost of E&O insurance per rep, per year2400$2,400
Affiliation fees charged per rep, per year$0 to $700$0-$700
Affiliation fee coverageRenewal FeesRenewal Fees
$0-$249,999 $250K-$499,999 $500K-$749,999 $750K-$999,999 $1,000,000+
Mutual funds 75% to 90% 90% 91% 91% 92%
Insurance 90% 90% 90% 90% 90%
Variable annuities 75% to 90% 90% 91% 91% 92%
Limited parterships 75% to 90% 90% 91% 91% 92%
Securities 75% to 90% 90% 91% 91% 92%
Required minimum production$25,000
2020 2019 2018
Total revenues$32,081,905$32,298,668$31,198,973
Commission revenues$14,815,372$16,449,325$16,467,985
Securities revenues$522,737$614,891$348,207
Securities revenues: Stocks$522,737$614,891$272,818
Securities revenues: Bonds$75,389
Securities revenues: ETFs
Securities revenues: Other
Mutual fund revenues$4,135,025$4,541,524$4,842,061
Annuities revenues$9,787,176$10,477,369$10,641,793
Annuities revenues: Fixed$1,174,461$1,257,284$594,537
Annuities revenues: Variable$8,612,715$9,220,085$7,080,967
Annuities revenues: Other$2,966,289
Insurance revenue$336,619$470,812$391,866
Insurance revenues: Life$336,619$470,812$391,866
Insurance revenues: Disabilities
Insurance revenues: LTC
Insurance revenues: Other
Alternative revenues00$244,058
Alternative revenues: Hedge funds
Alternative revenues: Managed futures
Alternative revenues: Private placements
Alternative revenues: REITs$244,058
Alternative revenues: Other
Other commission revenues$33,815$344,729
Fee revenues$14,462,864$13,665,422$12,685,490
Fee revenues: Rep-managed accounts$3,615,716$3,416,356$3,503,732
Fee revenues: Firm-managed accounts$9,400,862$8,882,524$6,752,486
Fee revenues: Outside-managed accounts$1,446,286$1,366,542$2,378,529
Fee revenues: Other$50,743
Total revenues: Other$2,803,670$2,183,860$2,045,498
2020 2019 2018
Total account assets$3,871,307,878$3,600,316,327$4,257,841,526
Fee-based assets$1,447,771,483$1,400,933,857$2,958,746,318
Fee-based assets: Clearing firm$941,051,464$910,607,007$1,893,746,318
Fee-based assets: Advisory firm platforms$361,942,871$350,233,464$900,000,000
Fee-based assets: Third-party money managers$144,777,148$140,093,386$165,000,000
Fee-based assets: Other
Total account assets: Other$2,423,536,395$2,199,382,470$1,299,095,208
Average assets per rep$25,808,719$22,224,175$21,183,291
Social Media & Mobile
Allows advisers to use social mediaY
Social media sites allowedFacebook
Dedicated mobile application for advisers?N
Primary purpose of mobile application
Software Offered
Account aggregation software Albridge Wealth Reporting (Albridge, an affiliate of Pershing)
AllData Advisor (Morningstar)
CashEdge (Fiserv)
eMoney 360 (eMoney Advisor)
Compliance software
CRM Ebix CRM Smartoffice (Ebix)
Redtail CRM (Redtail Technology)
Salesforce CRM (
Document management Docupace ePacs (Docupace Technologies Inc.)
Redtail Imaging (Redtail Technology)
Financial planning eMoney360 (eMoney Advisor)
Morningstar Advisor Workstation (Morningstar Inc.)
Portfolio management Albridge Wealth Reporting (Albridge, and affiliate of Pershing)
Black Diamond (Advent Software Inc.)
Portfolio rebalancing
Offers robo-advisory platform?N
If not, when plans to offer a robo-platformWe do not plan on offering robo-advisory services
Robo-advice services offered
How robo-platform developed
Charge for robo-advisory services?
  • 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.

Purchase the complete set of our independent broker-dealer data and profiles in an Excel spreadsheet.

For comments or suggestions about the Adviser Center, please contact us.

Disclaimer: All data and information is the property of InvestmentNews and is protected by copyright and other intellectual property laws. All rights are reserved by InvestmentNews. The data may only be used for internal business use such as to develop a mailing list but the data may not be resold, republished, redistributed, sublicensed or publicly displayed on a web site without the permission of InvestmentNews. All information contained within was obtained through InvestmentNews' annual independent B-D surveys.