NGC Financial, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$57,110,396
Total clients
78
0% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
78
Average account size
$732,185
About
NGC Financial provides fee‑based investment advisory and financial planning services primarily for individual and high‑net‑worth clients, and offers advice related to retirement and employer plan options for businesses. The firm works with a range of account types including IRAs, SEPs, 401(k)s, 403(b)s and other qualified plans.
The adviser uses a tactical asset‑allocation approach aimed at reducing risk and pursuing improved performance, employing mutual funds, ETFs, individual securities, municipal and U.S. government bonds, annuities, variable life products and interests in real‑estate partnerships. Portfolios are managed on a non‑discretionary basis, monitored on an ongoing basis and rebalanced when deemed appropriate, with fund selection often informed by manager tenure and career performance.
What distinguishes the firm from many peers is its mix of roles and services: the principal and the firm are dually registered with a broker‑dealer and FINRA, the principal maintains a CPA practice and is a licensed insurance agent, and the firm may receive commissions for certain insurance and securities transactions—conflicts the brochure describes and says will be disclosed and managed. The firm also uses a third‑party custodian/clearing broker (Altruist), does not aggregate client trades, and reports all advisory assets as managed on a non‑discretionary basis.
Client services
Financial planning
Portfolio management
Expertise
Retirement plans for business owners (SEP, solo 401k)
Annuities
Wealth management
Retirement income strategy
Fee options
$2,500 per financial plan, negotiable
$0 - $999,999: 1.20% $1,000,000+: 1.00%
Commissions from sale of insurance products and mutual funds; may receive asset-based sales charges and service fees
$250 per hour, negotiable
Fee-only: Hourly fee of $250 per hour (negotiable), Fixed fee of $2,500 per financial plan (negotiable)
Main office location
NGC Financial, LLC
3601 208 Th Street
Bayside NY 11361, United States
Number of offices
1
Most active in
NGC Financial, LLC has reported serving >5 clients in these states in the last 12 months.
New York
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Is not active or affiliated with:
-
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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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.
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