Financial Engines Inc (FNGN)

FINANCE: CORPORATE FINANCE
SIC:
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Financial Engines, Inc. and its subsidiaries provide independent, technology-enabled portfolio management services, investment advice, and retirement help to participants in employer-sponsored defined contribution plans, such as 401(k) plans. The company helps investors plan for retirement by offering personalized plans for saving and investing, as well as by providing assessments of retirement income needs and readiness. The company targets three key constituencies in the retirement plan market, including plan participants (employees of companies offering 401(k) plans), plan sponsors (employers offering 401(k) plans to their employees) and plan providers (companies providing administrative services to plan sponsors). Products and Services The company provides individuals with personalized portfolio management services, investment advice and retirement help to plan participants through plan providers. For retirement plan participants, the company provides personalized, unconflicted advice and management services to each individual's specific investment needs and goals, using the investment options available through their employer-provided plan. The company offers three principal services, including professional management, online advice, and retirement evaluation. Professional Management is a discretionary managed account service designed for plan participants who want affordable, personalized and professional portfolio management services, investment advice and retirement help from an independent investment advisor without the conflicts of interest that can arise when an advisor offers proprietary products. The company's investment recommendations are limited to the investment alternatives available in a 401(k) plan as determined and approved by a plan fiduciary. As of September 30, 2009, the company had 16 Investment Advisor Representatives. Online Advice is a nondiscretionary Internet-based service designed for plan participants who wish to take an active role in personally managing their portfolios and offers personalized advice for retirement portfolios. The company provides this service by acting as a subadvisor to a plan provider acting as the investment advisor to plan participants. Retirement Evaluation is a retirement readiness assessment provided to plan participants upon rollout and generally annually thereafter, together with a Professional Management enrollment form. The company delivers its services to plan sponsors and plan participants primarily through connections to eight retirement plan providers. In addition, it has connectivity with Charles Schwab to support one plan sponsor. It targets large plan sponsors across a range of industries. As of September 30, 2009, the company had signed contracts to make its services available through 107 Fortune 500 companies and 7 Fortune 20 companies. As of September 30, 2009, the company were under contract to provide either its full suite of services, including Professional Management, Online Advice and Retirement Evaluation, or its Online Advice service only, through approximately 765 plan sponsors with approximately 7.6 million plan participants whose retirement savings. Within this group, the company provides its full suite of services to 341 plan sponsors representing approximately 3.7 million participants. As of September 30, 2009, the company had 24 plan sponsors, representing approximately 870,000 plan participants. Competition Direct competitors who offer independent portfolio management and investment advisory services to plan participants in the workplace include Morningstar, Inc., GuidedChoice, and ProManage LLC. Plan providers that offer directly competing portfolio management and investment advisory services to investors in the workplace include Fidelity and Merrill Lynch. Target-date funds are offered by multiple financial institutions, BlackRock, T. Rowe Price, Fidelity, and The Vanguard Group, Inc. History Financial Engines, Inc. was founded in 1996.

View SEC Filings from FNGN instead.
Q3 2020 All 13F Filers Prior Change Hedge Funds 1 Prior Change
No data found for this quarter.
1 hedge funds and active managers as identified by whalewisdom.com through public filings.

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Funds Holding FNGN (via 13F filings)

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*Shares are split adjusted
*Please note that if a filer hasn't submitted a 13F filing for a quarter then the filer's shares will be listed as "Sold All"

Mutual Funds Holding FNGN BETA

Active Schedule 13D and 13G filings

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Open Market Buys/Sells Last 60 Days

Open Market Buys (P)

none

Open Market Sells (S)

none

Exercise Derivative Conversion (M)

none

Current/Former Insiders

Insider Name Type Last Reported Shares Held Last Reported Date Filings in past year

JONES CHRISTOPHER L. EVP & CHIEF INVESTMENT OFFICER

  • Officer
No longer subject to file 2018-07-19 0

RAFFONE LAWRENCE M. PRESIDENT & CEO

  • Officer
  • Director
No longer subject to file 2018-07-19 0

BERG-LACY E. OLENA

  • Director
No longer subject to file 2018-07-19 0

GROSSMAN BLAKE R.

  • Director
No longer subject to file 2018-07-19 0

GRUNDFEST JOSEPH

  • Director
No longer subject to file 2018-07-19 0

HURET ROBERT A

  • Director
No longer subject to file 2018-07-19 0

YOFFIE DAVID B

  • Director
No longer subject to file 2018-07-19 0

FIELDS HEIDI

  • Director
No longer subject to file 2018-07-19 0

SHOVEN JOHN B

  • Director
No longer subject to file 2018-07-19 0

O'DONNELL KELLY EVP, CAO & CRO

  • Officer
No longer subject to file 2018-07-19 0

CRUSE GINA M EVP, HUMAN RESOURCES

  • Officer
No longer subject to file 2018-07-19 0

BUNCH JOHN EVP, COO & PRES FE ADVISORS

  • Officer
No longer subject to file 2018-07-19 0

MARTIN MICHAEL E.

  • Director
No longer subject to file 2018-07-19 0

ANTONE LEWIS JR EVP, GENERAL COUNSEL AND SEC.

  • Officer
No longer subject to file 2018-07-19 0

FOSTER CRAIG L EVP & CFO

  • Officer
No longer subject to file 2018-07-19 0

GRACE JEFFREY C

  • PRINCIPAL ACCOUNTING OFFICER
3,919 2017-11-11 0

CAMPBELL MICHAEL JEROME EVP, PRODUCT & TECHNOLOGY

  • Officer
No longer subject to file 2017-11-11 0

WARBURG PINCUS PRIVATE EQUITY X, L.P.

WARBURG PINCUS X PARTNERS, L.P.

WARBURG PINCUS X, L.P.

WARBURG PINCUS X GP L.P.

WPP GP LLC

WARBURG PINCUS PARTNERS, L.P.

WARBURG PINCUS PARTNERS GP LLC

WARBURG PINCUS & CO.

KAYE CHARLES R

LANDY JOSEPH P.

  • Director
  • SEE FOOTNOTES (1)(2)(3)(4)SEE FOOTNOTES (1)(2)(3)(4)
No longer subject to file 2017-08-22 0

WARBURG PINCUS LLC

  • SEE FOOTNOTES (1)(2)(3)(4)
No longer subject to file 2017-08-22 0

SIMS RAYMOND J. EVP & CFO

  • Officer
1,759 2017-05-10 0

CHEONG CHUNG MENG EVP, PRODUCT & CONSUMER MKTG

  • Officer
0 2016-12-08 0

GAMBLE PAUL EVP, DISTRIB & INST SERVICES

  • Officer
13,909 2016-11-23 0

KOONTZ PAUL G

  • Director
No longer subject to file 2016-05-15 0

CAPPEL ANNE TUTTLE EVP, GENERAL COUNSEL

  • Officer
12,061 2016-02-26 0

COSTELLO MARK PETER EVP, SERVICE DELIVERY

  • Officer
10,234 2016-02-18 0

MAGGIONCALDA JEFFREY NACEY CEO

  • Officer
  • Director
232,403 2014-12-30 0

SHARP MARY LEE EVP HUMAN RESOURCES

  • Officer
No longer subject to file 2014-05-23 0

HALLEE GARRY W. EVP, TECHNOLOGY & SVC DELIVERY

  • Officer
120,092 2014-04-22 0

BOWER JUNE EVP MARKETING

  • Officer
0 2012-11-16 0

BEHRMAN DEBORAH J. VP, HUMAN RESOURCES

  • Officer
30,121 2011-12-27 0

FINE KENNETH M. EVP, MARKETING

  • Officer
52,340 2011-07-21 0

WOLFSON MARK A

  • Director
0 2011-05-12 0

KRAMLICH C RICHARD

  • Director
841,412 2010-11-16 0

FOUNDATION CAPITAL MANAGEMENT CO LLC

FOUNDATION CAPITAL LP

FOUNDATION CAPITAL LEADERSHIP FUND LP

FC LEADERSHIP MANAGEMENT CO LLC

FOUNDATION CAPITAL LEADERSHIP PRINCIPALS FUND LLC

FOUNDATION CAPITAL ENTREPRENEURS FUND, LLC

  • 10% Owner
No longer subject to file 2010-11-10 0

ELMORE WILLIAM B

  • 10% Owner
No longer subject to file 2010-11-10 0

GROSSER ADAM

  • 10% Owner
No longer subject to file 2010-11-10 0

SCHUH MICHAEL N

  • 10% Owner
No longer subject to file 2010-11-10 0

GOULD KATHRYN C

  • 10% Owner
No longer subject to file 2010-11-10 0

ANDERSON JAMES C

  • 10% Owner
No longer subject to file 2010-11-10 0

NEWHALL CHARLES W III

  • 10% Owner
No longer subject to file 2010-08-30 0

NEHRA JOHN M

  • 10% Owner
No longer subject to file 2010-08-30 0

BARRIS PETER J

  • 10% Owner
No longer subject to file 2010-08-30 0

PERRY MARK W

  • 10% Owner
No longer subject to file 2010-08-30 0

NEW ENTERPRISE ASSOCIATES VII LP

NEA PARTNERS VII LP

  • 10% Owner
No longer subject to file 2010-08-30 0

FOUNDATION CAPITAL MANAGEMENT CO LLC

FOUNDATION CAPITAL LP

FOUNDATION CAPITAL LEADERSHIP FUND LP

FC LEADERSHIP MANAGEMENT CO LLC

FOUNDATION CAPITAL LEADERSHIP PRINCIPALS FUND LLC

  • 10% Owner
5,194,688 2010-08-27 0

ELMORE WILLIAM B

SCHUH MICHAEL N

GOULD KATHRYN C

ANDERSON JAMES C

GROSSER ADAM

  • 10% Owner
5,744,688 2010-03-19 0

Insider Transactions Last 60 Days

Reporting Owners Filing Date Trans Date Trans Code Shares Share Price Acquired
Disposed
Shares Owned after D/I 10b5 Perf 1d* Perf 5d* Perf 1m* Max Gain Max Gain Days Max Loss Max Loss Days
No current insider transactions

* -

Transaction Code Definitions
Code Definition
A Grant, award or other acquisition pursuant to Rule 16b-3(d)
C Conversion of derivative security
D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)
E Expiration of short derivative position
F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3
G Bona fide gift
H Expiration (or cancellation) of long derivative position with value received
I Discretionary transaction in accordance with Rule 16b-3(f) resulting in acquisition or disposition of issuer securities
J Other acquisition or disposition
L Small acquisition under Rule 16a-6
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3
O Exercise of out-of-the-money derivative security
P Open market or private purchase of non-derivative or derivative security
S Open market or private sale of non-derivative or derivative security
U Disposition pursuant to a tender of shares in a change of control transaction
W Acquisition or disposition by will or the laws of descent and distribution
X Exercise of in-the-money or at-the-money derivative security
Z Deposit into or withdrawal from voting trust

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