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NLG CAPITAL LLC

MONTPELIER, VT · CRD 109396 · IAPD ↗ · 802-229-3773

$46.55BRegulatory AUM
48Advisory reps
54Employees
0Clients
0Planning clients
0Private funds
2States
0Disclosures
institutionalSegment
ApprovedSEC status

Filing changes

50
April 2026 — NLG CAPITAL, INC. is now doing business as NLG CAPITAL LLC.
Primary business name changed: rebrand, merger, or ownership change.
Marketing & brandCRM
35
February 2026 — NLG CAPITAL, INC. filed an Item 4A succession naming NLG CAPITAL, INC. (CRD 109396) — an entity change, not a deal.
Item 4A succession where the acquired firm is the same business (entity change, not a deal).
Integration & migration consultingCompliance
67
February 2026 — NLG CAPITAL, INC. grew from 41 to 48 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
45
April 2025 — NLG CAPITAL, INC. added office(s): 1 -> 2 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
45
April 2024 — NLG CAPITAL, INC. shrank from 46 to 41 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.