IPO registrations (S-1, F-1) · Registrants
Financial Engines, LLC
- SEC CIK
- 1430592 · filings on EDGAR ↗
- Name on the registration
- Financial Engines, Inc.
- Former names
- Financial Engines, Inc. (2009–2018)
- Registration
- Form S-1, first filed 2009-12-09, last 2010-03-11; 1 initial registration, 6 amendments
- Outcome
- Final prospectus filed 2010-03-16; declared effective 2010-03-15
- Industry (SIC)
- Investment Advice 6282
- Incorporated in
- DE
- Business address
- 1050 ENTERPRISE WAY, 3RD FL, Sunnyvale, CA 94089
- EIN
- 94-3250323
- EDGAR entity type
- operating
- Insiders and CEO pay
- Financial Engines, LLC on the corporate pages
Offering terms
- Proposed price range
- $9.00–$11.00 per share (S-1/A filed 2010-03-08)
- Final price
- $12.00 per share, above the range (424B4 filed 2010-03-16, an initial public offering)
- Shares sold
- 10,600,000 (all by selling holders)
- Gross proceeds
- $127,200,000 before underwriting discounts and any over-allotment option
- Listing
- Nasdaq under the symbol FNGN
- Lead underwriters
- Goldman Sachs (6,360,000 shares)
- Syndicate
- UBS (2,650,000); Cowen (742,000); Piper Sandler (848,000)
Read from the cover pages of the filings listed under “Prospectus pages read” below; check the document for anything that matters.
On this site
- Business registration: EDELMAN FINANCIAL ENGINES, LLC EXACT (EIN (EXACT, as the state registration reports it))
- Business registration: FINANCIAL ENGINES, INC. EXACT (EIN (EXACT, as the state registration reports it))
- Business registration: Financial Engines, Inc. Fuzzy (name and state)
- Business registration: Financial Engines, Inc. Fuzzy (name and state)
- Business registration: FINANCIAL ENGINES, INC. Fuzzy (name and state)
- Business registration: FINANCIAL ENGINES, INC. Fuzzy (name and state)
- Form 5500 plan sponsor: EDELMAN FINANCIAL ENGINES, LLC EXACT (EIN (EXACT))
- Form D issuer: Financial Engines, Inc. EXACT (CIK (EXACT))
- Lobbying client: FINANCIAL ENGINES, INC. Fuzzy (name and state)
- SEC filer: Financial Engines, Inc. EXACT (CIK (EXACT))
- Person page: David B Yoffie Fuzzy (officer, director or 10% owner on the company's Forms 3, 4 and 5 (Director))
- Person page: Mary Lee Sharp Fuzzy (officer, director or 10% owner on the company's Forms 3, 4 and 5 (Officer))
- Person page: Robert A Huret Fuzzy (officer, director or 10% owner on the company's Forms 3, 4 and 5 (Director))
Filings 9
| Filed | Form | What it is | Name as filed | EDGAR |
|---|---|---|---|---|
| 2009-12-09 | S-1 | S-1 (registration) | Financial Engines, Inc. | 0000950123-09-069405 ↗ |
| 2010-01-12 | S-1/A | S-1/A (amendment) | Financial Engines, Inc. | 0000950123-10-002050 ↗ |
| 2010-02-03 | S-1/A | S-1/A (amendment) | Financial Engines, Inc. | 0000950123-10-008395 ↗ |
| 2010-02-22 | S-1/A | S-1/A (amendment) | Financial Engines, Inc. | 0000950123-10-014774 ↗ |
| 2010-02-26 | S-1/A | S-1/A (amendment) | Financial Engines, Inc. | 0000950123-10-017472 ↗ |
| 2010-03-08 | S-1/A | S-1/A (amendment) | Financial Engines, Inc. | 0000950123-10-021768 ↗ |
| 2010-03-11 | S-1/A | S-1/A (amendment) | Financial Engines, Inc. | 0000950123-10-023300 ↗ |
| 2010-03-15 | EFFECT | EFFECT (declared effective) | Financial Engines, Inc. | 9999999995-10-000728 ↗ |
| 2010-03-16 | 424B4 | 424B4 (final prospectus) | Financial Engines, Inc. | 0000950123-10-024912 ↗ |
Prospectus pages read 3
| Filed | Form | Read as | Range | Price | Shares | Proceeds | Listing | Underwriters | What was found | Document |
|---|---|---|---|---|---|---|---|---|---|---|
| 2010-03-08 | S-1/A | registration statement | $9.00–$11.00 | $6.07 | 10,600,000 | $64,342,000 | Nasdaq FNGN | 4 | primary document; range, price line, shares headline, proceeds computed, cover names 4 | document ↗ |
| 2010-03-11 | S-1/A | registration statement | - | - | 0 | primary document; no terms found | document ↗ | |||
| 2010-03-16 | 424B4 | final prospectus | $12.00 | 10,600,000 | $127,200,000 | Nasdaq FNGN | 4 | primary document; price sentence, shares headline, proceeds table, underwriting table 4, cover names 4 | document ↗ |
Officers, directors and large holders Forms 3, 4 and 5
| Insider | Role | Title | Filings | Years | On this site |
|---|---|---|---|---|---|
| ANDERSON JAMES C | TenPercentOwner | 4 | 2010 | ||
| BARRIS PETER J | TenPercentOwner | 3 | 2010 | ||
| Behrman Deborah J. | Officer | VP, Human Resources | 12 | 2010–2011 | |
| Berg-Lacy E. Olena | Director | 39 | 2010–2018 | ||
| Cappel Anne Tuttle | Officer | EVP & General Counsel; EVP, General Counsel; See Remarks | 78 | 2010–2016 | |
| ELMORE WILLIAM B | TenPercentOwner | 4 | 2010 | ||
| FC LEADERSHIP MANAGEMENT CO LLC | TenPercentOwner | 4 | 2010 | ||
| FIELDS HEIDI | Director | 20 | 2010–2018 | ||
| Fine Kenneth M. | Officer | EVP, Marketing; Executive VP, Marketing; See Remarks | 19 | 2010–2011 | |
| Foundation Capital Entrepreneurs Fund, LLC | TenPercentOwner | 3 | 2010 | ||
| FOUNDATION CAPITAL LEADERSHIP FUND LP | TenPercentOwner | 4 | 2010 | ||
| FOUNDATION CAPITAL LEADERSHIP PRINCIPALS FUND LLC | TenPercentOwner | 4 | 2010 | ||
| FOUNDATION CAPITAL LP | TenPercentOwner | 4 | 2010 | ||
| FOUNDATION CAPITAL MANAGEMENT CO LLC | TenPercentOwner | 4 | 2010 | ||
| GOULD KATHRYN C | TenPercentOwner | 4 | 2010 | ||
| GROSSER ADAM | TenPercentOwner | 4 | 2010 | ||
| GRUNDFEST JOSEPH | Director | 39 | 2010–2018 | ||
| Hallee Garry W. | Officer | EVP, Technology & Svc Delivery; Exec VP, Technology & Serv Dl; See Remarks | 74 | 2010–2014 | |
| Jones Christopher L. | Officer | EVP & Chief Investment Officer; Exec VP, Invst Mgmt & CIO; See Remarks | 133 | 2010–2018 | |
| KOONTZ PAUL G | Director; Director,TenPercentOwner | 19 | 2010–2016 | ||
| KRAMLICH C RICHARD | Director; Director,TenPercentOwner | 4 | 2010 | ||
| Maggioncalda Jeffrey Nacey | Director,Officer | CEO; CEO and President; CEO & President | 105 | 2010–2014 | |
| NEA PARTNERS VII LP | TenPercentOwner | 3 | 2010 | ||
| NEHRA JOHN M | TenPercentOwner | 3 | 2010 | ||
| NEW ENTERPRISE ASSOCIATES VII LP | TenPercentOwner | 3 | 2010 | ||
| NEWHALL CHARLES W III | TenPercentOwner | 3 | 2010 | ||
| PERRY MARK W | TenPercentOwner | 3 | 2010 | ||
| Raffone Lawrence M. | Director,Officer; Officer | CEO & President; EVP, Sales; EVP, Sales & Client Services; President; President & CEO; See Remarks | 87 | 2010–2018 | |
| SCHUH MICHAEL N | TenPercentOwner | 4 | 2010 | ||
| SHOVEN JOHN B | Director | 23 | 2010–2018 | ||
| Sims Raymond J. | Officer | EVP and CFO; EVP & CFO; EVP, CFO & Chief Risk Officer; Executive VP & CFO; See Remarks | 95 | 2010–2017 | |
| WOLFSON MARK A | Director | 3 | 2010–2012 | ||
| GRACE JEFFREY C | Other | 36 | 2010–2017 | ||
| HURET ROBERT A | Director | 19 | 2011–2018 | person page Fuzzy | |
| Grossman Blake R. | Director | 23 | 2011–2018 | ||
| YOFFIE DAVID B | Director | 21 | 2011–2018 | person page Fuzzy | |
| SHARP MARY LEE | Officer | EVP Human Resources | 27 | 2012–2014 | person page Fuzzy |
| BOWER JUNE | Officer | EVP Marketing | 3 | 2012 | |
| Gamble Paul | Officer | EVP, Distrib & Inst Services | 24 | 2012–2016 | |
| O Donnell Kelly | Officer | EVP Business Ops & Corp Mktg; EVP, CAO & CRO; EVP Marketing | 43 | 2013–2018 | |
| Cheong Chung Meng | Officer | EVP, Customer Experience; EVP, Product & Consumer Mktg | 9 | 2014–2016 | |
| Campbell Michael Jerome | Officer | EVP, Product & Technology; EVP, Technology | 39 | 2014–2017 | |
| Costello Mark Peter | Officer | EVP, Service Delivery | 14 | 2014–2016 | |
| Cruse Gina M | Officer | EVP, Human Resources | 11 | 2015–2018 | |
| Bunch John | Officer | COO; EVP, COO & Pres FE Advisors; President, FE Advisors | 11 | 2016–2018 | |
| Martin Michael E. | Director | 9 | 2016–2018 | ||
| KAYE CHARLES R | Other; TenPercentOwner | 4 | 2016–2017 | ||
| Landy Joseph P. | Other; TenPercentOwner | 4 | 2016–2017 | ||
| WARBURG PINCUS & CO. | Director; Director,TenPercentOwner | 4 | 2016–2017 | ||
| WARBURG PINCUS LLC | Other; TenPercentOwner | 4 | 2016–2017 | ||
| Warburg Pincus Partners GP LLC | Director; Director,TenPercentOwner | 4 | 2016–2017 | ||
| Warburg Pincus Partners, L.P. | Director; Director,TenPercentOwner | 4 | 2016–2017 | ||
| Warburg Pincus Private Equity X, L.P. | Director; Director,TenPercentOwner | 4 | 2016–2017 | ||
| Warburg Pincus X GP L.P. | Director; Director,TenPercentOwner | 4 | 2016–2017 | ||
| Warburg Pincus X, L.P. | Director; Director,TenPercentOwner | 4 | 2016–2017 | ||
| Warburg Pincus X Partners, L.P. | Director; Director,TenPercentOwner | 4 | 2016–2017 | ||
| WPP GP LLC | Director; Director,TenPercentOwner | 4 | 2016–2017 | ||
| Antone Lewis JR | Officer | EVP, General Counsel and Sec. | 25 | 2016–2018 | |
| Foster Craig L | Officer | EVP & CFO | 3 | 2017–2018 |
Everyone who filed an insider report for this company, from the SEC’s Insider Transactions Data Sets (2006 on). Person pages are matched by name and state only.
Private offerings before or after (Form D)
| First filed | Issuer | Industry | Offering | Sold | Investors | Filings |
|---|---|---|---|---|---|---|
| 2016-02-03 | Financial Engines, Inc. | Other Banking and Financial Services | $271,861,947 | $271,861,947 | 4 | 1 |
Data: SEC EDGAR. The quarterly full index (every S-1, S-1/A, F-1 and F-1/A since 1993, with the pricing prospectus, notice of effectiveness and withdrawal request of each registrant) and the company submissions data (SIC, state of incorporation, address, EIN, tickers, former names). Company details are what EDGAR holds today, not at the time of the filing.
Also on this site Fuzzy
| Record | Name as filed | Where | Dataset | Matched by |
|---|---|---|---|---|
| Business registration | Financial Engines, Inc. | CA | State business registries | name and state |
| Business registration | Financial Engines, Inc. | CA | State business registries | name and state |
| Business registration | FINANCIAL ENGINES, INC. | CA | State business registries | name and state |
| Business registration | FINANCIAL ENGINES, INC. | CA | State business registries | name and state |
| Business registration | FINANCIAL ENGINES, INC. | CA | State business registries | name and state |
| Plan sponsor | EDELMAN FINANCIAL ENGINES, LLC | CA | Form 5500 (employee benefit plans) | EIN (EXACT) |
| Form D issuer | Financial Engines, Inc. | CA | Form D private offerings | CIK (EXACT) |
| Lobbying client | FINANCIAL ENGINES, INC. | CA | Federal lobbying (LDA) | name and state |
| Patent assignee | Financial Engines, Inc. | CA | Patents (USPTO) | name and state |
| SEC filer | Financial Engines, Inc. | SEC filers (EDGAR) | CIK (EXACT) | |
| Trademark owner | Financial Engines, Inc. | CA | Trademarks (USPTO) | name and state |
| Business registration | EDELMAN FINANCIAL ENGINES, LLC | State business registries | EIN (EXACT, as the state registration reports it) | |
| Form 5500 plan sponsor | EDELMAN FINANCIAL ENGINES, LLC | EIN (EXACT) | ||
| Person page | David B Yoffie | People (Form 990 officers, directors and employees) | officer, director or 10% owner on the company's Forms 3, 4 and 5 (Director) | |
| Person page | Mary Lee Sharp | People (Form 990 officers, directors and employees) | officer, director or 10% owner on the company's Forms 3, 4 and 5 (Officer) | |
| Person page | Robert A Huret | People (Form 990 officers, directors and employees) | officer, director or 10% owner on the company's Forms 3, 4 and 5 (Director) |
Matched by an identifier (EIN, CIK, CRD), by name and state or city, or by street address; a shared name or address is not proof of the same person or organization. Every link says how it was made; how the cross-referencing works.
Others with the same interests
SIC industry Investment Advice, CA first:
- HENNESSY ADVISORS INC CA
- Ares Management Corp CA
- HOULIHAN LOKEY, INC. CA
- Brookfield Oaktree Holdings, LLC CA
- BRC Group Holdings, Inc. CA
- AssetMark Financial Holdings, Inc. CA
- Triller Group Inc. CA
- TAILWIND FINANCIAL INC. A6
- HIGHBURY FINANCIAL INC CO
- Fifth Street Asset Management Inc. CT
In other datasets, the same topic (Finance) in CA:
- Lobbying client: A16Z CAPITAL MANAGEMENT FKA ANDREESSEN HOROWITZ (Federal lobbying (LDA))
Interests: Investment Advice · Finance