Next GEN Advisors, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$9,000,000
Clients
5
100% high-net worth
Advisors
2
of 3 employees
Firm type
Supported
1-3 advisors or $200M+ in AUM
Clients per advisor
3
Very LowAverage account size
$1,800,000
About
Next GEN Advisors, LLC primarily advises high‑net‑worth individuals and similar entities (trusts, small businesses, pension/profit‑sharing plans) and delivers asset management, financial planning, and consulting services through separately managed accounts, proprietary and third‑party model programs, and solicitor or co‑advisory arrangements. Services are offered on both discretionary and non‑discretionary bases, and client allocations are guided by a Client Passport questionnaire and periodic reviews.
The firm’s investment process combines fundamental and technical methods (including charting) and uses analytical and optimization tools to construct advisor‑specific portfolios and evaluate sub‑managers. NGA’s brochure also discloses the use of market timing techniques and the potential use of derivatives in separately managed accounts for hedging and other purposes, with related risks described in its disclosures.
What distinguishes NGA from many peers is its affiliation and ownership structure: it is a subsidiary of Cathay Securities, Inc., a FINRA‑member, SEC‑registered broker‑dealer, and its IARs may be dually registered, which permits commissionable brokerage and insurance activity in addition to advisory services. The firm also discloses procedures for allocating IPO interests when its affiliated broker‑dealer participates in underwriting — a practice and a level of broker‑dealer affiliation that are uncommon among supported firms.
Client services
Expertise
Fee options
Flat fees for one-time consulting or planning services, negotiable; fixed fees range from $100 to $1200
$0 - $1,000,000: 0.20% - 2.50% $1,000,000 - $3,000,000: 0.15% - 2.50% $5,000,000+: 0.10% - 2.50%
Some IARs dually registered and may receive commissions from broker/dealer or insurance product sales; NGA does not share in commissions
Hourly consulting fees range from $100 to $500 per hour
Minimum fee: Minimum annual account fee of $100 Fee-only: Asset management fees negotiable up to 2.50% annually; hourly consulting fees $100 to $500 per hour; fixed fees from $100 to $1200; flat fees and retainers also available
Main office location
Next GEN Advisors, LLC
40 Wall Street
New York NY 10005, United States
Number of offices
1
Most active in
New York
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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