DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Nfsg Corporation
Latest filing Mar 2, 2026
First filing on the tape Mar 22, 2012 · 61 filings
SEC status approved since Nov 6, 2007
RAUM
$1.1B
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
95%
$1.0B individuals and HNW
Advisors
77
registered through the firm on IAPD
RAUM per advisor
$14.1M
derived; firm RAUM over IAPD count
Employees
89
74 advisory (5.B.1)
Offices
24
beyond the principal office
Private funds
0
reported on Schedule D
History
61 filings and snapshots on the tape
RAUM$1.1B as of Mar 2, 2026
Mar 22, 2012$129M then
HNW client RAUM$474M as of Mar 2, 2026
Apr 2, 2018$57.5M then
State-registered IARs (5.B.3)74 as of Mar 2, 2026
Mar 22, 20120 then
Employees (5.A)89 as of Mar 2, 2026
Mar 25, 2013225 then
Private funds: no history
RAUM +33% over the last fiscal year+32% a year over threeIARs 71 to 74offices 25 to 24
Practice profile
derived from the filing of Mar 2, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $14.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 39derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $619,497derivedHNW RAUM over HNW clients
- Average account
- $300,151derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 1.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 3.1derived25 offices incl. principal (1.F.5)
- RAUM growth, one year
- +33%derivedbetween the last two annual amendments
- Advisor growth, one year
- +4.2%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.0%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Wrap fee program
- $942MreportedItem 5.I
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$558M52%
- High-net-worth individuals$474M44%
- Corporations and businesses$36.1M3.3%
- Pension and profit-sharing plans$10.1M0.9%
- Charitable organizations$3.4M0.3%
- Individual clients
- 2,271reported
- HNW clients
- 765reported
- Pension plan clients
- 20reported
- Charitable clients
- n/areported
- Accounts
- 3,607reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.01 related_bd=true related_bank=false bd_reps=68.0derived
Advisors registered through the firm
77 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Philip Behram Antia | Boca Raton, Fl | Jan 28, 2005 | 34 y | 1 |
| Scott Howard Goldstein | Boca Raton, Fl | Jun 1, 2005 | 39 y | 0 |
| Guy Steven Amico | Boca Raton, Fl | Jun 1, 2005 | 38 y | 0 |
| Gregory Malcolm Mcleod | Boca Raton, Fl | Jul 20, 2006 | 29 y | 0 |
| Robert J Raab | Boca Raton, Fl | Mar 9, 2007 | 40 y | 2 |
| Richard Brad Miller | Boca Raton, Fl | Mar 13, 2007 | 32 y | 1 |
| Scott Stanley Brooks | San Clemente, Ca | Sep 6, 2007 | 26 y | 2 |
| Michael Leonard WhitakerChartered Financial Consultant | Boca Raton, Fl | Mar 16, 2010 | 21 y | 0 |
| Dennis Michael Zator | Heath, Tx | Jul 6, 2010 | 47 y | 2 |
| Eric Jason Fields | Northbrook, Il | Jul 6, 2010 | 31 y | 3 |
| Gregory Romanczuk | Boca Raton, Fl | Jul 6, 2010 | 29 y | 1 |
| Kerri Jamison Brutto | Boca Raton, Fl | Nov 10, 2010 | 25 y | 2 |
| Bryan Scott Rathman | New York, Ny | Jan 20, 2012 | 33 y | 0 |
| Joseph Mellusi | Boca Raton, Fl | Feb 24, 2012 | 34 y | 0 |
| Walter Paul PriebeChartered Financial Consultant | Fort Lauderdale, Fl | Dec 3, 2014 | 37 y | 2 |
| Michael Paul Zappier | Boca Raton, Fl | Mar 26, 2015 | 25 y | 0 |
| Timothy Daniel June | Coatesville, Pa | May 18, 2015 | 40 y | 3 |
| Ivan Richard Gefen | Boca Raton, Fl | Apr 22, 2016 | 41 y | 2 |
| Nicholas Michael Giallourakis | Boca Raton, Fl | Jul 8, 2016 | 22 y | 1 |
| Robert Charles Bragg | Boca Raton, Fl | Dec 2, 2016 | 22 y | 1 |
| Glenn William Fiocca | Boca Raton, Fl | May 1, 2017 | 31 y | 0 |
| Giovanni Anthony Buzzetta | Morristown, Nj | May 10, 2017 | 25 y | 1 |
| Gabriel Martin Antuna | Little Silver, Nj | Jul 26, 2017 | 32 y | 2 |
| Xavier Patino | Oakbrook Terrace, Il | Sep 6, 2017 | 18 y | 2 |
| Jeffrey Lewis Eglow | Boca Raton, Fl | Dec 11, 2017 | 40 y | 6 |
| Douglas Roy Albert | Boca Raton, Fl | Jan 11, 2018 | 34 y | 0 |
| Curtis C Randle El | Boca Raton, Fl | Jun 6, 2018 | 21 y | 7 |
| Kyle George Corgan | Boca Raton, Fl | Jul 10, 2018 | 24 y | 0 |
| Chris Allen Nelson | Sioux Falls, Sd | Jul 16, 2018 | 34 y | 3 |
| Rodger Erik Thomas | Roselle Park, Nj | Oct 30, 2018 | 19 y | 5 |
| Kai Chong Cheng | Boca Raton, Fl | Nov 7, 2018 | 21 y | 2 |
| Kenneth Robert Mahoney | Boca Raton, Fl | Apr 2, 2019 | 37 y | 2 |
| Michael Joseph Dellaporta | Boca Raton, Fl | Jul 11, 2019 | 23 y | 6 |
| Stephen David Tracy | Robinson, Il | Dec 11, 2019 | 23 y | 2 |
| Penny L Kelley | Boca Raton, Fl | Dec 18, 2019 | 44 y | 3 |
| Kristi M TrowbridgeCertified Financial Planner | Hoover, Al | Jan 27, 2020 | 30 y | 7 |
| Todd Weatherwax | Boca Raton, Fl | Feb 20, 2020 | 11 y | 2 |
| Malcolm Douglas Maclennan | Los Angeles, Ca | Mar 10, 2020 | 39 y | 4 |
| Gary William Boyt | Boca Raton, Fl | May 14, 2020 | 24 y | 4 |
| Chad Dana Champion | Collierville, Tn | Dec 18, 2020 | 26 y | 3 |
Advisor movement
2 left, 7 joined in 12 months
net +5 in 12 months0 left in 90 days3 joined in 90 daysdeparture rate 2.6% of current headcount15 left over 36 months
Left, latest
- Richard Eugene Griffin to Rickstar Financial, LLCJun 18, 2026 · Affiliated broker-dealer or bank to a state-registered adviser
- Jeffrey Neal Miller to First Command Advisory ServicesNov 13, 2025 · Affiliated broker-dealer or bank to another
- Andrew Joseph Fairchild to Independent Financial Group, LLCApr 15, 2025 · Affiliated broker-dealer or bank to another
- David Robert Zoellner to Z Advisory InnovationsAug 2, 2024 · Affiliated broker-dealer or bank to a state-registered adviser
- David Robert Zoellner Jr to Z Advisory InnovationsAug 2, 2024 · Affiliated broker-dealer or bank to a state-registered adviser
- William Lapiana to Ausdal Financial Partners, Inc.Jun 25, 2024 · Affiliated broker-dealer or bank to independent RIA
- Betsy Lou Whipple to Securities America Advisors, Inc.May 16, 2024 · Affiliated broker-dealer or bank to another
- Jeffrey Krug to Pruco Securities, LLCFeb 5, 2024 · Affiliated broker-dealer or bank to another
- Anthony Charles Rosso to Cetera Investment Advisers LLCFeb 2, 2024 · Affiliated broker-dealer or bank to another
- Sean Thomas Keating to Cetera Investment Advisers LLCFeb 2, 2024 · Affiliated broker-dealer or bank to another
- Leslie K Curran to Cetera Investment Advisers LLCFeb 2, 2024 · Affiliated broker-dealer or bank to another
- Andrew Christopher Yost to Cetera Investment Advisers LLCFeb 2, 2024 · Affiliated broker-dealer or bank to another
- Jesse Alec Mann to Merrill Lynch, Pierce, Fenner & Smith IncorporatedJan 8, 2024 · Affiliated broker-dealer or bank to wirehouse
- Kenneth Joseph Arena to Cetera Investment Advisers LLCDec 4, 2023 · Affiliated broker-dealer or bank to another
- Patrick Lee Baird to B. Riley Wealth Advisors, Inc.Oct 5, 2023 · Affiliated broker-dealer or bank to another
Joined, latest
- Richard Brian Dorfman from Money Concepts Advisory ServiceAug 13, 2026 · Affiliated broker-dealer or bank to another
- William Mitchell Lefkowitz from B. Riley Wealth Advisors, Inc.Aug 11, 2026 · Affiliated broker-dealer or bank to another
- Stephen Robert Spence from U.S. Bancorp Advisors, LLCJul 23, 2026 · Affiliated broker-dealer or bank to another
- Jason Douglas Konskier from Realta Investment Advisors, IncApr 9, 2026 · Affiliated broker-dealer or bank to another
- Jeffrey Allan Huff from Lincoln InvestmentDec 18, 2025 · RIA to affiliated broker-dealer or bank
- Mark Joseph Hudec from Gradient Wealth ManagementNov 26, 2025 · Affiliated broker-dealer or bank to another
- Marc Allen Brown from Raymond James Financial Services Advisors, IncNov 14, 2025 · Affiliated broker-dealer or bank to another
- Lisa Anne Armbrust from Raymond James & Associates, Inc.Jul 2, 2025 · Affiliated broker-dealer or bank to another
- Neil Robert Bradie from Kestra Advisory Services, LLCApr 2, 2025 · Affiliated broker-dealer or bank to another
- Jeffrey Neal Miller from Kovack Advisors, Inc.Sep 20, 2024 · Affiliated broker-dealer or bank to another
- Pamela Nisbet Mcwhorter from Edward JonesMay 23, 2024 · Affiliated broker-dealer or bank to another
- John E Swegles from Wells Fargo AdvisorsMay 15, 2024 · Wirehouse to affiliated broker-dealer or bank
- Richard Wayne Slavik from Kovack Advisors, Inc.Nov 28, 2023 · Affiliated broker-dealer or bank to another
- Timothy Brian Campbell from MML Investors Services, LLCOct 13, 2023 · Affiliated broker-dealer or bank to another
- Russell Alan Pierce from LPL Financial LLCOct 5, 2023 · Affiliated broker-dealer or bank to another
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Z Advisory InnovationsAug 2, 2024 · Boca Raton, Fl
- 2 left for Cetera Investment Advisers LLCFeb 2, 2024 · Boca Raton, Fl
- 2 left for Cetera Investment Advisers LLCFeb 2, 2024 · Sea Girt, Nj
- 2 left for Calton & Associates, Inc.Dec 3, 2019 · Boca Raton, Fl
- 2 left for Centaurus Financial, Inc.Sep 18, 2017 · Lady Lake, Fl
- 2 left for Center Street Advisors, Inc.Aug 24, 2015 · Boca Raton, Fl
- 2 joined from LPL Financial LLCOct 5, 2021 · San Diego, Ca
- 2 joined from Equitable Advisors, LLCJul 23, 2018 · Melville, Ny
- 3 joined from Vsr Advisory ServicesJun 20, 2016 · Overland Park, Ks
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Joseph Thomas Casolaro · Co-Ceo & Chairmancontrolsince 08/2022 · owns less than 5%
- Wayne Richard Slavik · Chief Compliance Officercontrolsince 07/2024 · owns less than 5%
- Pendelton Robert Spitler · Co-Ceo/Finop/Chief Financial Officer/Principal Financial Officer/Chief Compliance Officercontrolsince 12/2023 · owns less than 5%
- Steven Guy Amico · Shareholdercontrolsince 01/2002 · owns 25% to 50% of Newbridge Financial Inc.
- Howard Scott Goldstein · Shareholdercontrolsince 01/2002 · owns 25% to 50% of Newbridge Financial Inc.
- C Henry Duques · Shareholdersince 08/2014 · owns F of Newbridge Financial, Inc
Entity owners
- Newbridge Financial Inc. · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- Bridge Line Advisors LLCinvestment advisern
- Bridge Line Ventures, LLCpooled vehicle sponsorn
- Newbridge Insurance Services, Inc.real estaten
- Newbridge Securities Corporationbroker-dealerreal estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Boca Raton, Fl · principal | 77 | 13 | 2 | ||
| New York, Ny | 3 | 0 | 0 | ||
| Montvale, Nj | 3 | 0 | 0 | ||
| The Villages, Fl | 2 | 0 | 0 | ||
| Pompano Beach, Fl | 0 | 0 | 0 | ||
| Sea Girt, Nj | 0 | 0 | 0 | ||
| Tavares, Fl | 0 | 0 | 0 | ||
| Parkland, Fl | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Sea Girt, NJ4 employees
- Syosset, NY3 employees
- Chicago, IL3 employees
- New York, NY2 employees
- Waterford, MI2 employees
- New York, NY2 employees
- Mesa, AZ2 employees
- The Villages, FL2 employees
- Morristown, NJ2 employees
- San Clemente, CA2 employees
- Little Silver, NJ1 employees
- Montvale, NJ1 employees
- Monument, CO1 employees
- Morristown, NJ1 employees
- New York, NY1 employees
- Umatalla, FL1 employees
- Waynesville, NC1 employees
- Manhasset, NY1 employees
- , 1 employees
- Robinson, IL1 employees
- , 1 employees
- Boca Raton, FL1 employees
- Baltimore, MD1 employees
- Oak Brook Terrace, IL1 employees
- Belmont, NC1 employees
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 2, 2026GOLDSTEIN, SCOTT, HOWARD (SHAREHOLDER) left Schedule A between the filings of 2024-08-02 and 2026-03-02peers: affiliated wealth managers, $1B to $5B (56)
- control person changedChange between filings · filing Mar 2, 2026AMICO, GUY, STEVEN (SHAREHOLDER) left Schedule A between the filings of 2024-08-02 and 2026-03-02peers: affiliated wealth managers, $1B to $5B (56)
- control person changedChange between filings · filing Mar 2, 2026Slavik, Richard, Wayne (CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2024-08-02 and 2026-03-02peers: affiliated wealth managers, $1B to $5B (56)
What changed
consecutive filings, newest first
- Accounts · 3,587 to 3,607Jan 6, 2026 to Feb 13, 2026
- Advisory employees · 66 to 74Jan 6, 2026 to Feb 13, 2026
- BD registered reps · 61 to 68Jan 6, 2026 to Feb 13, 2026
- Charity clients · 5.0 to unsetJan 6, 2026 to Feb 13, 2026
- Corporate clients · 36 to 40Jan 6, 2026 to Feb 13, 2026
- HNW clients · 594 to 765Jan 6, 2026 to Feb 13, 2026
- Individual clients · 2,243 to 2,271Jan 6, 2026 to Feb 13, 2026
- Pension plan clients · 21 to 20Jan 6, 2026 to Feb 13, 2026
- State-registered IARs · 71 to 74Jan 6, 2026 to Feb 13, 2026
- Discretionary RAUM · $736M to $1.0BJan 6, 2026 to Feb 13, 2026
- HNW RAUM · $340M to $474MJan 6, 2026 to Feb 13, 2026
- Individual RAUM · $438M to $558MJan 6, 2026 to Feb 13, 2026
- Non-discretionary RAUM · $77.7M to $49.3MJan 6, 2026 to Feb 13, 2026
- Pension RAUM · $8.9M to $10.1MJan 6, 2026 to Feb 13, 2026
- RAUM · $813M to $1.1BJan 6, 2026 to Feb 13, 2026
- Financial planning clients · 1-10 to 1-10Apr 30, 2025 to May 15, 2025
- Other offices · 25 to 24Apr 30, 2025 to May 15, 2025
- Accounts · 2,506 to 3,587Sep 11, 2024 to Apr 30, 2025
- Advisory employees · 73 to 66Sep 11, 2024 to Apr 30, 2025
- BD registered reps · 73 to 61Sep 11, 2024 to Apr 30, 2025
- Business name · NEWBRIDGE FINANCIAL SERVICES GROUP, INC. to NFSG CORPORATIONSep 11, 2024 to Apr 30, 2025
- Charity clients · 6 to 5Sep 11, 2024 to Apr 30, 2025
- Corporate clients · 16 to 36Sep 11, 2024 to Apr 30, 2025
- HNW clients · 349 to 594Sep 11, 2024 to Apr 30, 2025
- Individual clients · 2,118 to 2,243Sep 11, 2024 to Apr 30, 2025
- Pension plan clients · 17 to 21Sep 11, 2024 to Apr 30, 2025
- Employees · 183 to 89Sep 11, 2024 to Apr 30, 2025
- Financial planning clients · 0 to 1-10Sep 11, 2024 to Apr 30, 2025
- State-registered IARs · 73 to 71Sep 11, 2024 to Apr 30, 2025
- Legal name · NEWBRIDGE FINANCIAL SERVICES GROUP, INC. to NFSG CORPORATIONSep 11, 2024 to Apr 30, 2025
- Other offices · 38 to 25Sep 11, 2024 to Apr 30, 2025
- Discretionary RAUM · $397M to $736MSep 11, 2024 to Apr 30, 2025
- HNW RAUM · $151M to $340MSep 11, 2024 to Apr 30, 2025
- Individual RAUM · $400M to $438MSep 11, 2024 to Apr 30, 2025
- Non-discretionary RAUM · $170M to $77.7MSep 11, 2024 to Apr 30, 2025
- Pension RAUM · $6.5M to $8.9MSep 11, 2024 to Apr 30, 2025
- RAUM · $566M to $813MSep 11, 2024 to Apr 30, 2025
- Accounts · 2,184 to 2,506Dec 15, 2023 to Mar 30, 2024
- Advisory employees · 78 to 73Dec 15, 2023 to Mar 30, 2024
- BD registered reps · 71 to 73Dec 15, 2023 to Mar 30, 2024
Signals
60 dated events
- Richard Eugene Griffin left Nfsg Corporation for Rickstar Financial, Llc (registered 2026-06-15)Jun 18, 2026 · Advisor changed firm · fact
- Nfsg Corporation reported RAUM $1.1B, up 33% from $813.5M (2026-01-06 to 2026-02-13)Feb 13, 2026 · RAUM change · derived
- Jeffrey Neal Miller left Nfsg Corporation for First Command Advisory Services (registered 2026-06-24)Nov 13, 2025 · Advisor changed firm · fact
- Nfsg Corporation reported 25 offices beyond its principal office, down from 38 (2024-09-11 to 2025-04-30)Apr 30, 2025 · Office count change · derived
- Nfsg Corporation reported RAUM $813.5M, up 44% from $566.2M (2024-09-11 to 2025-04-30)Apr 30, 2025 · RAUM change · derived
- Andrew Joseph Fairchild left Nfsg Corporation for Independent Financial Group, Llc (registered 2025-04-16)Apr 15, 2025 · Advisor changed firm · fact
- David Robert Zoellner Jr left Nfsg Corporation for Z Advisory Innovations (registered 2024-08-02)Aug 2, 2024 · Advisor changed firm · fact
- David Robert Zoellner left Nfsg Corporation for Z Advisory Innovations (registered 2024-08-19)Aug 2, 2024 · Advisor changed firm · fact
- Robert Gene Abrams (General Counsel/Chief Compliance Officer) no longer on Schedule A of Nfsg Corporation (listed 2024-03-30, absent 2024-08-02)Aug 2, 2024 · Control person left · inference
- Wayne Richard Slavik (Chief Compliance Officer) appeared on Schedule A of Nfsg CorporationAug 2, 2024 · Control person joined · fact
- 2 advisors left Nfsg Corporation (Boca Raton, FL) for Z Advisory Innovations on the same dayAug 2, 2024 · Team lift-out · derived
- William Lapiana left Nfsg Corporation for Ausdal Financial Partners, Inc. (registered 2024-06-24)Jun 25, 2024 · Advisor changed firm · fact
- Betsy Lou Whipple left Nfsg Corporation for Securities America Advisors, Inc. (registered 2024-05-20)May 16, 2024 · Advisor changed firm · fact
- Jeffrey Krug left Nfsg Corporation for Pruco Securities, Llc (registered 2024-02-07)Feb 5, 2024 · Advisor changed firm · fact
- Leslie K Curran left Nfsg Corporation for Cetera Investment Advisers Llc (registered 2024-02-02)Feb 2, 2024 · Advisor changed firm · fact
- Anthony Charles Rosso left Nfsg Corporation for Cetera Investment Advisers Llc (registered 2024-02-02)Feb 2, 2024 · Advisor changed firm · fact
- Sean Thomas Keating left Nfsg Corporation for Cetera Investment Advisers Llc (registered 2024-02-02)Feb 2, 2024 · Advisor changed firm · fact
- Andrew Christopher Yost left Nfsg Corporation for Cetera Investment Advisers Llc (registered 2024-02-01)Feb 2, 2024 · Advisor changed firm · fact
- 3 advisors left Nfsg Corporation (Boca Raton, FL) for Cetera Investment Advisers LLC on the same dayFeb 2, 2024 · Team lift-out · derived
- 2 advisors left Nfsg Corporation (Sea Girt, NJ) for Cetera Investment Advisers LLC on the same dayFeb 2, 2024 · Team lift-out · derived
- Jesse Alec Mann left Nfsg Corporation for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2024-02-01)Jan 8, 2024 · Advisor changed firm · fact
- Pendelton Robert Spitler (Co-Ceo/Finop/Chief Financial Officer/Principal Financial Officer) appeared on Schedule A of Nfsg CorporationDec 15, 2023 · Control person joined · fact
- Kenneth Joseph Arena left Nfsg Corporation for Cetera Investment Advisers Llc (registered 2024-04-01)Dec 4, 2023 · Advisor changed firm · fact
- Patrick Lee Baird left Nfsg Corporation for B. Riley Wealth Advisors, Inc. (registered 2023-10-16)Oct 5, 2023 · Advisor changed firm · fact
- Bruce Alan Levin (Chief Financial Officer) no longer on Schedule A of Nfsg Corporation (listed 2023-09-19, absent 2023-09-29)Sep 29, 2023 · Control person left · inference
- Lee Patrick Baird (Chief Compliance Officer) no longer on Schedule A of Nfsg Corporation (listed 2023-09-19, absent 2023-09-29)Sep 29, 2023 · Control person left · inference
- Jay Leonard Sokolow (Ceo) no longer on Schedule A of Nfsg Corporation (listed 2023-03-30, absent 2023-09-19)Sep 19, 2023 · Control person left · inference
- Nicholas L. Gomez left Nfsg Corporation for Lpl Financial Llc (registered 2023-09-15)Sep 14, 2023 · Advisor changed firm · fact
- Collin Kirk Cornell left Nfsg Corporation for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2024-04-18)Sep 11, 2023 · Advisor changed firm · fact
- Alan Bruce Levin left Nfsg Corporation for Ibd Wealth Management, Llc (registered 2023-08-09)Jul 17, 2023 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- nfsgwealth.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 954-334-3450reportedpublic record, Form ADV, Mar 2, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Broker-dealer affiliated wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $14.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026