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NOVEM GROUP

ROCHESTER, NY · CRD 158964 · IAPD ↗ · novemgroup.com · 585-348-9525

$1.72BRegulatory AUM
50Advisory reps
52Employees
4Clients
More than 500Planning clients
0Private funds
32States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

47
October 2026 — NOVEM GROUP notice-filed in MO.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
47
December 2025 — NOVEM GROUP notice-filed in LA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
47
August 2025 — NOVEM GROUP notice-filed in TN.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
55
April 2025 — NOVEM GROUP added office(s): 7 -> 8 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
51
January 2025 — NOVEM GROUP notice-filed in IA, KS, VT.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
55
April 2024 — NOVEM GROUP shrank from 57 to 50 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
63
April 2024 — NOVEM GROUP reports More than 500 financial-planning clients, up from 251-500.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software

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