Broker-dealer firm · Fair Lawn, NJ
NPA Asset Management, LLC
SEC-registered investment adviser · CRD 131534 · SEC 801-66006
At a glance
NPA Asset Management, LLC is an SEC-registered investment adviser based in Fair Lawn, New Jersey, with $1.1 billion in regulatory assets under management as of its Form ADV filed March 20, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 2,293 individual clients. By Form ADV it is a broker-dealer firm, ranked 162nd of 391 broker-dealer firms and 5,185th of 17,210 SEC-registered advisers by assets.
Main office 201-476-0029nationwideplanning.comAs filed on Form ADV
- Regulatory AUM
- $1.1B
- Rank among broker-dealer firms
- #162 of 391
- Rank among all SEC RIAs
- #5,185 of 17,210
- Rank in New Jersey
- #93 of 392
- Individual clients
- 2,293
- High-net-worth clients
- 877
- Accounts
- 2,746
- Discretionary
- 51% of AUM
- Employees
- 68
- Advisory staff
- 52
- Offices
- 11
Owners and executives on its Form ADV
- Michael J. De PolFounder and Chairmam of the Board
- Michael J KaralewichChief Executive Officer
- Peter AbramenkoCo-Chairman of the Board
- James S CollearyChief Compliance Officer
Custody and brokerage
Custodian
NPA Asset Management, LLC’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.
Broker-dealer
Hybrid RIA
NPA Asset Management, LLC is a hybrid RIA: 52 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: Nationwide Planning Associates Inc..
- Nationwide Planning Associates Inc. ↗CRD 31029
An introducing broker-dealer: its trades clear through another firm, which holds the brokerage accounts. Its annual audited report filed with the SEC, April 2026
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 877 | $526M | 49% |
| Individuals | 1,416 | $310M | 29% |
| Pension and profit sharing plans | 376 | $158M | 15% |
| Corporations or other businesses | 74 | $69M | 6% |
| Charitable organizations | 3 | $2M | <1% |
Disciplinary disclosures
NPA Asset Management, LLC answers yes to 9 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
- Pension consulting
- Selecting other advisers
- Other services
How it’s paid
- A percentage of assets under management
- Fixed fees
- Other
Form ADV and brochures on the SEC’s adviser search ↗nationwideplanning.com ↗
AtlasMembers
The full record on NPA Asset Management, LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 121 peers of its type and size
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- Owners and executives, with titles and stakes
- 4 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does NPA Asset Management, LLC manage?
NPA Asset Management, LLC reports $1.1 billion in regulatory assets under management across 2,746 accounts, 51% of it on a discretionary basis, on its Form ADV filed March 20, 2026.
What kind of firm is NPA Asset Management, LLC?
NPA Asset Management, LLC is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser.
Who are NPA Asset Management, LLC’s clients?
By assets, its largest client types are high-net-worth individuals ($526 million, 877 clients); individuals ($310 million, 1,416 clients); pension and profit sharing plans ($158 million, 376 clients).
Does NPA Asset Management, LLC have any disciplinary history?
NPA Asset Management, LLC answers yes to 9 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is NPA Asset Management, LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-03-20), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →