{
  "crd_number": 139992,
  "slug": "ngc-financial-llc-bayside-ny-139992",
  "primary_business_name": "NGC FINANCIAL, LLC",
  "legal_name": "NGC FINANCIAL, LLC",
  "dbas": [],
  "city": "Bayside",
  "state": "NY",
  "country": "United States",
  "cbsa_code": "35620",
  "metro": {
    "cbsa_code": "35620",
    "common_name": "New York",
    "msa_name": "New York-Newark-Jersey City, NY-NJ",
    "path": "/advisors/ny/new-york"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2023-11-15",
  "years_registered": 2,
  "period": "2026-10-01",
  "filing_date": "2026-08-26",
  "carried_forward": false,
  "raum_total": 71883635.0,
  "raum_discretionary": 0.0,
  "raum_non_discretionary": 71883635.0,
  "raum_band": "25m_100m",
  "raum_band_label": "$25 million to $100 million",
  "total_employees": 1,
  "advisory_employees": 1,
  "client_count_bucket": null,
  "clients_by_type": {
    "individuals": {
      "raum": 18224108.0,
      "count": 88
    },
    "high_net_worth_individuals": {
      "raum": 53659527.0,
      "count": 24
    }
  },
  "compensation_types": [
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "NY",
    "TX"
  ],
  "websites": [
    "https://carousso",
    "https://ngcfinancial.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/139992",
  "city_as_filed": "BAYSIDE",
  "url": "https://advisorcensus.com/firm/ngc-financial-llc-bayside-ny-139992",
  "display_name": "NGC Financial, LLC",
  "summary": "NGC Financial, LLC is an SEC-registered investment advisory firm in Bayside, NY, registered since 2023, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated August 26, 2026.",
  "citation": "AdvisorCensus. NGC Financial, LLC (CRD 139992): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses"
  ],
  "quick_answers": [
    {
      "q": "How is NGC Financial, LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), NGC Financial, LLC reports these compensation arrangements: a percentage of assets under its management."
    },
    {
      "q": "How much does NGC Financial, LLC charge?",
      "a": "Its Form ADV Part 2A brochure dated August 26, 2026 states: Hourly rate: $250 an hour (investment advisory advice and/or financial planning advice); Flat fee: $2,500. Fees can differ by service and may be negotiable; the brochure is the complete statement."
    },
    {
      "q": "Where is NGC Financial, LLC located?",
      "a": "NGC Financial, LLC's principal office is in Bayside, NY, according to its Form ADV."
    },
    {
      "q": "Is NGC Financial, LLC registered with the SEC or a state?",
      "a": "NGC Financial, LLC is an SEC-registered investment advisory firm, registered since 2023. Status as filed: Approved. CRD 139992."
    },
    {
      "q": "How much does NGC Financial, LLC manage?",
      "a": "NGC Financial, LLC reports $71,883,635 in regulatory assets under management in its Form ADV filing dated August 26, 2026 (0% discretionary)."
    },
    {
      "q": "How have NGC Financial, LLC's assets and staff changed since 2024?",
      "a": "In the Form ADV data for NGC Financial, LLC: Regulatory assets under management: $39,106,917 in the October 2024 data and $71,883,635 in the October 2026 data, up 84%. Total employees: 1 in October 2024 and 1 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does NGC Financial, LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (88); high net worth individuals (24)."
    },
    {
      "q": "Does NGC Financial, LLC report any disciplinary disclosures?",
      "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/139992"
    },
    {
      "q": "What changed in NGC Financial, LLC's recent Form ADV filings?",
      "a": "In the September 2026 filing data: Regulatory assets under management went from $57,110,396 to $71,883,635 (+26%)."
    }
  ],
  "filing_history": [
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 39106917.0,
      "total_employees": 1,
      "filing_date": "2024-09-06"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 39106917.0,
      "total_employees": 1,
      "filing_date": "2024-11-12"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 71883635.0,
      "total_employees": 1,
      "filing_date": "2026-08-26"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-09-01",
      "period_label": "September 2026",
      "notes": [
        "Regulatory assets under management went from $57,110,396 to $71,883,635 (+26%)."
      ]
    },
    {
      "period": "2026-07-01",
      "period_label": "July 2026",
      "notes": [
        "Registered or notice-filed in TX."
      ]
    },
    {
      "period": "2025-12-01",
      "period_label": "December 2025",
      "notes": [
        "Regulatory assets under management went from $39,106,917 to $57,110,396 (+46%)."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated August 26, 2026",
    "provided_by_the_firm": false,
    "tiers": [],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": null,
    "account_minimum_may_be_waived": false,
    "minimum_annual_fee": null,
    "planning_fees": [
      "Hourly rate: $250 an hour (investment advisory advice and/or financial planning advice)",
      "Flat fee: $2,500"
    ],
    "figures": [
      {
        "label": "Planning fee",
        "statements": [
          "Hourly rate: $250 an hour (investment advisory advice and/or financial planning advice)"
        ],
        "quotes": [
          "The advisors hourly fee will be billed at a rate of $250 per hour, but may be negotiated in advance."
        ]
      },
      {
        "label": "Planning fee",
        "statements": [
          "Flat fee: $2,500"
        ],
        "quotes": [
          "NGC Financial, LLC will charge $2,500 per plan as contracted and payable by in advance."
        ]
      }
    ],
    "values": {
      "tiers": [],
      "range_pct": null,
      "max_pct": null,
      "account_minimum": null,
      "minimum_annual_fee": null,
      "planning": [
        {
          "kind": "hourly",
          "amount": 250.0,
          "min": null,
          "max": null,
          "period": "hour",
          "service": "investment advisory advice and/or financial planning advice"
        },
        {
          "kind": "flat",
          "amount": 2500.0,
          "min": null,
          "max": null,
          "period": "one_time",
          "service": "plan"
        }
      ]
    },
    "quotes": [
      "The advisors hourly fee will be billed at a rate of $250 per hour, but may be negotiated in advance.",
      "NGC Financial, LLC will charge $2,500 per plan as contracted and payable by in advance."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [],
  "custodians_note": null,
  "markdown_url": "https://advisorcensus.com/firm/ngc-financial-llc-bayside-ny-139992.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 88,
      "fewer_than_5": false,
      "raum": 18224108.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 24,
      "fewer_than_5": false,
      "raum": 53659527.0
    }
  ],
  "disclosure_line": "Reports no disclosure items on Form ADV Item 11.",
  "disclosure_items": [],
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/139992",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}