NGC FINANCIAL, LLC

RIASEC RegisteredEst. 2023

Total AUM

$57.1M

Discretionary

0% of AUM

Avg account

$529K

Accounts

108

Employees

Advisory reps

Firm details

Headquarters: BAYSIDE, New York
CRD number: 139992
Registered since: November 15, 2023
Website: www.ngcfinancial.com
Fee structure: Percentage of AUM, Hourly Charges, Fixed Fees, Commissions
Client types: Individuals100%
Services: Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional Clients

Firm profile

FINTRX

Overview

NGC Financial, LLC is a small, owner-managed advisory and broker/dealer hybrid that registered with the SEC in 2023 as an LLC. Its stated client focus is individuals and families, and it offers a mix of advisory and broker-dealer services: financial planning, portfolio management for individuals and small businesses, and portfolio management for businesses or institutions. The firm also functions as an insurance broker and registered representative of a broker-dealer, so its revenue model combines advisory fees with transactional and insurance-based compensation. Fee arrangements are varied — percentage-of-AUM, hourly and fixed fees, and commissions are all used — which aligns with the dual advisory/brokerage posture. The firm is not positioned as a multi-state adviser or a pension consultant, it does not present itself as a capital allocator or related adviser, and it is not an active ESG investor.