Firm Information

Compensation
Fee-Only (AUM)Fixed/Hourly
Number of Advisors
94 advisors
Number of Clients
5,401 clients
Average Client Portfolio
$716K average
Assets Under Management
$3.9B

Fee Structure

Financial Planning:Investment management only

Fees for advisory services are negotiable and vary based on factors such as the IAR, client location, types of securities managed, account size, and service requests. Asset-based fees range up to 2.25% for discretionary, non-discretionary, and sub-adviser advisory accounts, and up to 2.50% for all-inclusive wrap accounts. NFGI's 401K Portfolios fees range from 0.10% to 0.30%. NFGI Portfolios may have fees range up to a maximum of 1.50%. Financial consulting fees are determined on a one-time basis and are subject to negotiation.

Areas of Practice
Investment ManagementRetirement Planning
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Advisor Information

Office location

2070 Broadway, New York, NY, 10023-2802

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Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Employment History
Current Registrations
Nations Financial Group, INC.
August 2025 - Present · 5 mos
Nations Financial Group, INC. Broker
August 2025 - Present · 5 mos
Previous Registrations
Strategic Advisers LLC
March 2025 - August 2025 · 5 mos
Fidelity Personal and Workplace Advisors
July 2018 - March 2025 · 6 yrs 8 mos
Strategic Advisers LLC
June 2016 - July 2018 · 2 yrs 1 mo
Fidelity Brokerage Services LLCBroker
March 2016 - August 2025 · 9 yrs 5 mos
Ernst & Young Investment Advisers LLP
February 2007 - July 2012 · 5 yrs 5 mos
Chase Investment Services CORP.Broker
September 2005 - November 2006 · 1 yr 2 mos
Chase Investment Services CORP.
September 2005 - November 2006 · 1 yr 2 mos
Wm Financial Services, INC.Broker
August 2004 - March 2005 · 7 mos
Hsbc Brokerage (usa) INC.Broker
September 2002 - August 2004 · 1 yr 11 mos
Citicorp Investment ServicesBroker
May 1999 - July 2002 · 3 yrs 2 mos
Charles Schwab & Co., INC. Broker
February 1998 - May 1999 · 1 yr 3 mos
First United Equities CorporationBroker
September 1997 - December 1997 · 3 mos
Charles Schwab & Co., INC. Broker
November 1995 - September 1997 · 1 yr 10 mos
Duke & Co., INC.Broker
April 1995 - June 1995 · 2 mos
D. H. Blair & Co., INC.Broker
June 1994 - February 1995 · 8 mos
Gruntal & CO. IncorporatedBroker
March 1994 - May 1994 · 2 mos
State Registrations6 states
CTFLNJNYPAVA
AdvisorBrokerBoth
Exams
No exam information available for this advisor.