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NGC FINANCIAL, LLC

BAYSIDE, NY · CRD 139992 · IAPD ↗ · ngcfinancial.com · 718-423-1100

$71.9MRegulatory AUM
1Advisory reps
1Employees
0Clients
51-100Planning clients
0Private funds
2States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

60
September 2026 — NGC FINANCIAL, LLC reported RAUM up 26% ($57.1M -> $71.9M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
42
July 2026 — NGC FINANCIAL, LLC notice-filed in TX.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
58
December 2025 — NGC FINANCIAL, LLC reports 51-100 financial-planning clients, up from 26-50.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
64
December 2025 — NGC FINANCIAL, LLC reported RAUM up 46% ($39.1M -> $57.1M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
65
October 2024 — NGC FINANCIAL, LLC reported RAUM up 51% ($25.9M -> $39.1M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software

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