DFX Intelligence

Data Factory

RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

GREENBERG FINANCIAL GROUP

CRD 38747

TUCSON, AZ

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:ac1ac13b-5270-e3d6-7b5c-57207a5305af

Data as of Mar 16, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:39 PM UTC and rebuilt at most every 15 minutes.

Relationships: 17
Dated events: 1
On other graphs: 0
Observed: Mar 8, 2012 to Mar 16, 2026
23 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=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $407MItem 5.F on the latest filing (2026-03-16); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $368M
Private client RAUM: $406MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 6
RAUM per advisor: $67.8Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 10
Advisory employees: 6
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 1,175
Individual clients: 675
High net worth clients: 125
SEC number: 801-36988
CIK: 946626
CRD: 38747
Filings on the tape: 23
First filed: Mar 8, 2012
Latest filed: Mar 16, 2026
Organised: Corporation, AZ
Website: greenbergfinancial.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
Sebastian R Encinas Borsini	n/a	TUCSON, AZ	3	13	n/a	no
DAVID MICHAEL SHERWOOD	n/a	TUCSON, AZ	1	44	1	no
DEAN STEVEN GREENBERG	n/a	TUCSON, AZ	1	41	1	no
Mark Joseph Kinney	n/a	TUCSON, AZ	1	31	1	yes
Dylan Jacob Greenberg	n/a	TUCSON, AZ	1	19	1	no
Todd Glick	n/a	TUCSON, AZ	1	15	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
GREENBERG, DEAN STEVEN	President	E	yes	01/1995	Mar 8, 2012	Mar 26, 2024
MAXWELL, SUSAN JANE	VICE PRESIDENT	Na	yes	06/2006	Mar 8, 2012	Mar 26, 2024

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; showing 15 of 17

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 16, 2026	$407M	$368M	10	6	0	n/a	n/a
2024	Mar 21, 2025	$331M	$303M	6	5	0	n/a	n/a
2023	Mar 26, 2024	$258M	$258M	6	5	0	n/a	n/a
2022	Mar 16, 2023	$189M	$189M	5	4	0	n/a	n/a
2021	Mar 28, 2022	$207M	$207M	5	4	0	n/a	n/a
2020	Mar 11, 2021	$187M	$187M	5	4	0	n/a	n/a
2019	Apr 2, 2020	$228M	$228M	5	4	0	n/a	n/a
2018	Mar 4, 2019	$194M	$194M	6	4	0	n/a	n/a
2017	Mar 20, 2018	$197M	$197M	7	6	0	n/a	n/a
2016	Mar 29, 2017	$194M	$194M	7	6	n/a	n/a	n/a
2015	Feb 22, 2016	$175M	$174M	9	7	n/a	n/a	n/a
2014	Feb 25, 2015	$188M	$188M	6	5	n/a	n/a	n/a
2013	Feb 26, 2014	$189M	$188M	6	5	n/a	n/a	n/a
2012	Feb 28, 2013	$177M	$177M	5	4	n/a	n/a	n/a
2011	Mar 8, 2012	$182M	$181M	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	$407M	$331M	22.8%	$189M	29.2%	10	6	0	0

Relationships

Registered with (10)

← DAVID MICHAEL SHERWOODAdvisorregistration: previous registration
Apr 25, 2023 to Jan 3, 2025factForm ADV
← DEAN STEVEN GREENBERGAdvisorregistration: previous registration
Oct 17, 2023 to Jan 8, 2025factForm ADV
← Mark Joseph KinneyAdvisorregistration: previous registration
Nov 22, 2023 to Jan 3, 2025factForm ADV
← Dylan Jacob GreenbergAdvisorregistration: previous registration
May 20, 2019 to Jan 3, 2025factForm ADV
← Todd GlickAdvisorregistration: previous registration
Jul 13, 2022 to Jan 3, 2025factForm ADV
← Sebastian R Encinas BorsiniAdvisorregistration: current employment
Jul 25, 2023 to presentfactForm ADV
← STEPHANIE MARIE FORDAdvisorregistration: previous registration
Apr 27, 2020 to Jan 18, 2023factForm ADV
← BENJAMIN JOHN FERNANDEZAdvisorregistration: previous registration
Nov 7, 2013 to Aug 20, 2018factForm ADV
← JOHN NORTHMORE STURTEVANTAdvisorregistration: previous registration
Apr 14, 2016 to Sep 28, 2017factForm ADV
← KEVIN RUPPRECHTAdvisorregistration: previous registration
Jun 22, 2004 to Jul 2, 2008factForm ADV

Controls (2)

← GREENBERG, DEAN STEVENOwnerPRESIDENT, ownership code E, individual
Mar 8, 2012 to Mar 26, 2024factForm ADV
← MAXWELL, SUSAN JANEOwnerVICE PRESIDENT, ownership code NA, individual
Mar 8, 2012 to Mar 26, 2024factForm ADV

Dated events

Occurred
Jan 18, 2023
Advisor changed firm
Stephanie Marie Ford left Greenberg Financial Group for Householder Group Estate & Retirement Specialists (registered 2023-01-04)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ac1ac13b-5270-e3d6-7b5c-57207a5305af
First observed: Mar 8, 2012
Last observed: Mar 16, 2026 6 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.

GREENBERG FINANCIAL GROUP

CRD 38747

TUCSON, AZ

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:ac1ac13b-5270-e3d6-7b5c-57207a5305af

Data as of Mar 16, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:39 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

Sebastian R Encinas Borsini

n/a

TUCSON, AZ

n/a

DAVID MICHAEL SHERWOOD

n/a

TUCSON, AZ

DEAN STEVEN GREENBERG

n/a

TUCSON, AZ

Mark Joseph Kinney

n/a

TUCSON, AZ

yes

Dylan Jacob Greenberg

n/a

TUCSON, AZ

Todd Glick

n/a

TUCSON, AZ

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

GREENBERG, DEAN STEVEN

President

yes

01/1995

Mar 8, 2012

Mar 26, 2024

MAXWELL, SUSAN JANE

VICE PRESIDENT

yes

06/2006

Mar 8, 2012

Mar 26, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 16, 2026

$407M

$368M

n/a

2024

Mar 21, 2025

$331M

$303M

n/a

2023

Mar 26, 2024

$258M

n/a

2022

Mar 16, 2023

$189M

n/a

2021

Mar 28, 2022

$207M

n/a

2020

Mar 11, 2021

$187M

n/a

2019

Apr 2, 2020

$228M

n/a

2018

Mar 4, 2019

$194M

n/a

2017

Mar 20, 2018

$197M

n/a

2016

Mar 29, 2017

$194M

n/a

2015

Feb 22, 2016

$175M

$174M

n/a

2014

Feb 25, 2015

$188M

n/a

2013

Feb 26, 2014

$189M

$188M

n/a

2012

Feb 28, 2013

$177M

n/a

2011

Mar 8, 2012

$182M

$181M

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

$407M

$331M

22.8%

$189M

29.2%