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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM under $100M

WEISS FINANCIAL GROUP LLC

CRD 159331

MAHOPAC, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:24ddf74e-012e-9e5d-3699-6818415de3a7

Data as of Jan 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:54 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Nov 18, 2011 to Jan 27, 2026
60 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.9 fund_share=0.0 institutional_share=0.09 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $90.0MItem 5.F on the latest filing (2026-01-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $86.8M
Private client RAUM: $81.4MderivedItem 5.D individuals plus high net worth individuals
Private client share: 90%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $45.0Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 2
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 249
Individual clients: 74
High net worth clients: 31
Custody, client assets: $0
SEC number: 801-72871
CRD: 159331
Filings on the tape: 60
First filed: Nov 18, 2011
Latest filed: Jan 27, 2026
Organised: Limited Liability Company, NY
Website: yelp.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
KEITH D WEISS	n/a	MAHOPAC, NY	14	18	1	no
SCOTT G WEISS	n/a	MAHOPAC, NY	14	16	1	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
WEISS, KEITH, D	CHIEF INFORMATION OFFICER	D	yes	09/2011	Nov 18, 2011	Mar 15, 2024
WEISS, SCOTT, G	CHIEF COMPLIANCE OFFICER	D	yes	09/2011	Nov 18, 2011	Mar 15, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
WEISS ADVISORY GROUP	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Jan 27, 2026	$90.0M	$86.8M	2	2	0	n/a	n/a
2024	Jan 15, 2025	$76.2M	$75.3M	2	2	0	n/a	n/a
2023	Feb 5, 2024	$67.7M	$64.7M	2	2	0	n/a	n/a
2022	Feb 20, 2023	$61.2M	$60.4M	2	2	0	n/a	n/a
2021	Feb 7, 2022	$77.1M	$77.1M	2	2	0	n/a	n/a
2020	Feb 16, 2021	$73.3M	$73.3M	2	2	0	n/a	n/a
2019	Jan 31, 2020	$62.6M	$62.6M	2	2	0	n/a	n/a
2018	Jan 15, 2019	$53.4M	$53.4M	2	2	0	n/a	n/a
2017	Mar 14, 2018	$56.6M	$56.6M	3	3	0	n/a	n/a
2016	Mar 2, 2017	$46.6M	$46.6M	3	3	n/a	n/a	n/a
2015	Feb 18, 2016	$44.2M	$43.7M	3	3	n/a	n/a	n/a
2014	Feb 25, 2015	$50.0M	$49.5M	3	3	n/a	n/a	n/a
2013	Feb 18, 2014	$41.8M	$41.4M	3	3	n/a	n/a	n/a
2012	Mar 20, 2013	$35.0M	$35.0M	3	3	n/a	n/a	n/a
2011	Oct 5, 2012	$35.8M	$33.5M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$90.0M	$76.2M	18.2%	$61.2M	13.7%	2	2	0	0

Relationships

Registered with (2)

← KEITH D WEISSAdvisorregistration: current employment
Jan 3, 2012 to presentfactForm ADV
← SCOTT G WEISSAdvisorregistration: current employment
Jan 3, 2012 to presentfactForm ADV

Controls (2)

← WEISS, KEITH, DOwnerCHIEF INFORMATION OFFICER, ownership code D, individual
Nov 18, 2011 to Mar 15, 2024factForm ADV
← WEISS, SCOTT, GOwnerCHIEF COMPLIANCE OFFICER, ownership code D, individual
Nov 18, 2011 to Mar 15, 2024factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:24ddf74e-012e-9e5d-3699-6818415de3a7
First observed: Nov 18, 2011
Last observed: Jan 27, 2026 7 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

WEISS FINANCIAL GROUP LLC

CRD 159331

MAHOPAC, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:24ddf74e-012e-9e5d-3699-6818415de3a7

Data as of Jan 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:54 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

KEITH D WEISS

n/a

MAHOPAC, NY

SCOTT G WEISS

n/a

MAHOPAC, NY

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

WEISS, KEITH, D

CHIEF INFORMATION OFFICER

yes

09/2011

Nov 18, 2011

Mar 15, 2024

WEISS, SCOTT, G

CHIEF COMPLIANCE OFFICER

yes

09/2011

Nov 18, 2011

Mar 15, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

WEISS ADVISORY GROUP

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Jan 27, 2026

$90.0M

$86.8M

n/a

2024

Jan 15, 2025

$76.2M

$75.3M

n/a

2023

Feb 5, 2024

$67.7M

$64.7M

n/a

2022

Feb 20, 2023

$61.2M

$60.4M

n/a

2021

Feb 7, 2022

$77.1M

n/a

2020

Feb 16, 2021

$73.3M

n/a

2019

Jan 31, 2020

$62.6M

n/a

2018

Jan 15, 2019

$53.4M

n/a

2017

Mar 14, 2018

$56.6M

n/a

2016

Mar 2, 2017

$46.6M

n/a

2015

Feb 18, 2016

$44.2M

$43.7M

n/a

2014

Feb 25, 2015

$50.0M

$49.5M

n/a

2013

Feb 18, 2014

$41.8M

$41.4M

n/a

2012

Mar 20, 2013

$35.0M

n/a

2011

Oct 5, 2012

$35.8M

$33.5M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$90.0M

$76.2M

18.2%

$61.2M

13.7%