DFX Intelligence

Data Factory

RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 100m 1b

NOVICK & COMPANY FINANCIAL GROUP, LLC

CRD 149287

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:58d22b06-7ff5-efa8-9839-14207f376efd

Data as of Mar 26, 2024 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:25 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Nov 10, 2011 to Mar 26, 2024
18 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $215MItem 5.F on the latest filing (2024-03-26); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $215M
Private client RAUM: $189MderivedItem 5.D individuals plus high net worth individuals
Private client share: 88%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7
Advisory employees: 2
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 185
Individual clients: 100
High net worth clients: 77
Custody, client assets: $17.0M
SEC number: 801-70386
CRD: 149287
Filings on the tape: 18
First filed: Nov 10, 2011
Latest filed: Mar 26, 2024
Organised: Limited Liability Company, Connecticut

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
NOVICK, LISA, ANN	Owner	D	yes	02/2005	Mar 9, 2018	Mar 26, 2024
NOVICK, STEVEN, SCOTT	MANAGING MEMBER & CHIEF COMPLIANCE OFFICER	D	yes	02/2005	Nov 10, 2011	Mar 26, 2024

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
NEW CANAAN	Ct	United States	2	no

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
2023	Mar 26, 2024	$215M	$215M	7	2	1	n/a	n/a
2022	Mar 31, 2023	$183M	$183M	7	2	1	n/a	n/a
2021	Mar 29, 2022	$219M	$219M	7	2	1	n/a	n/a
2020	Mar 16, 2021	$192M	$192M	5	2	1	n/a	n/a
2019	Mar 5, 2020	$161M	$161M	5	2	0	n/a	n/a
2018	Mar 12, 2019	$138M	$137M	5	2	0	n/a	n/a
2017	Mar 9, 2018	$141M	$141M	5	2	0	n/a	n/a
2016	Feb 17, 2017	$141M	$141M	2	1	n/a	n/a	n/a
2015	Mar 11, 2016	$141M	$139M	2	1	n/a	n/a	n/a
2014	Jan 30, 2015	$143M	$141M	2	1	n/a	n/a	n/a
2013	Feb 28, 2014	$143M	$141M	2	1	n/a	n/a	n/a
2012	Mar 20, 2013	$142M	$142M	2	1	n/a	n/a	n/a
2011	Mar 27, 2012	$141M	$139M	n/a	n/a	n/a	n/a	n/a

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
2023	$215M	$183M	17.8%	$192M	3.9%	7	7	1	1

Relationships

Controls (2)

← NOVICK, STEVEN, SCOTTOwnerMANAGING MEMBER & CHIEF COMPLIANCE OFFICER, ownership code D, individual
Nov 10, 2011 to presentfactForm ADV
← NOVICK, LISA, ANNOwnerOWNER, ownership code D, individual
Mar 9, 2018 to presentfactForm ADV

Registered with (2)

← STEVEN SCOTT NOVICKAdvisorregistration: previous registration
Jan 12, 2018 to Mar 18, 2025factForm ADV
← JOSEPH M PIRRONEAdvisorregistration: previous registration
Sep 30, 2009 to Oct 7, 2010factForm ADV

Dated events

Occurred
May 2, 2025
Left the SEC roster
Novick & Company Financial Group, Llc no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $215.0M)
Form ADVobserved 4 days ago
$215M
Occurred
Mar 18, 2025
Advisor changed firm
Steven Scott Novick left Novick & Company Financial Group, Llc for Steward Partners Investment Advisory, Llc (registered 2025-02-07)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:58d22b06-7ff5-efa8-9839-14207f376efd
First observed: Nov 10, 2011
Last observed: Mar 26, 2024 30 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.

NOVICK & COMPANY FINANCIAL GROUP, LLC

CRD 149287

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:58d22b06-7ff5-efa8-9839-14207f376efd

Data as of Mar 26, 2024 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:25 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

NOVICK, LISA, ANN

Owner

yes

02/2005

Mar 9, 2018

Mar 26, 2024

NOVICK, STEVEN, SCOTT

MANAGING MEMBER & CHIEF COMPLIANCE OFFICER

yes

02/2005

Nov 10, 2011

Mar 26, 2024

City

State

Country

Employees

Also broker-dealer

NEW CANAAN

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2023

Mar 26, 2024

$215M

n/a

2022

Mar 31, 2023

$183M

n/a

2021

Mar 29, 2022

$219M

n/a

2020

Mar 16, 2021

$192M

n/a

2019

Mar 5, 2020

$161M

n/a

2018

Mar 12, 2019

$138M

$137M

n/a

2017

Mar 9, 2018

$141M

n/a

2016

Feb 17, 2017

$141M

n/a

2015

Mar 11, 2016

$141M

$139M

n/a

2014

Jan 30, 2015

$143M

$141M

n/a

2013

Feb 28, 2014

$143M

$141M

n/a

2012

Mar 20, 2013

$142M

n/a

2011

Mar 27, 2012

$141M

$139M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2023

$215M

$183M

17.8%

$192M

3.9%