# Vanderbilt Advisory Services

> Vanderbilt Advisory Services is an SEC-registered investment advisory firm in Woodbury, NY, registered since 2012, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated February 27, 2026.

- CRD: 116537
- Filed as: VANDERBILT ADVISORY SERVICES
- Legal name: PFG Investments, LLC
- Also doing business as: 4KAST ADVISORS LLC, ABUNDANCE WEALTH SOLUTIONS, AFTON CAPITAL MANAGEMENT, AMERICAN CENTURION FINANCIAL, ARK FINANCIAL, ASTON CONSULTING GROUP, BAKER WEALTH MANAGEMENT, BRIN FINANCIAL, CENTERED WEALTH, CHAMBERLAIN GROUP, CHASE KELLY, CJW FINANCIAL SERVICES, COMMON INTERESTS, CORE VALUE INVESTMENT GROUP, CURBELO WEALTH MANAGEMENT GROUP LLC, EMPOWERED INVESTMENTS, ENDEAVOR FINANCIAL GROUP, EVANS GROUP FINANCIAL ADVISORS, FAVA WEALTH MANAGEMENT, FORTRESS WEALTH SOLUTIONS, LLC, GARDINER PRIVATE WEALTH MANAGEMENT, GREENVEST, GRYPHON ASSET MANAGEMENT, HANSEN'S ADVISORY SERVICES, HARBORWISE FINANCIAL, HIRSCH ASSOCIATES, ILN SECURITIES LLC, INFINITE INVESTMENT STRATEGIES LLC, J. BROWER & ASSOCIATES, JACK CHITE & ASSOCIATES, KEYSTONE FINANCIAL EDGE INC, KT WEALTH MANAGEMENT, LUNARIA FINANCIAL, MASTERPIECE FINANCIAL GROUP, MMS ASSET MANAGEMENT, PREFERRED FINANCIAL GROUP, PREMAC WEALTH MANAGEMENT, QUALITY FINANCIAL CONCEPTS, RAINBOW INVESTMENT SOLUTIONS, SENIOR WEALTH MANAGEMENT, INC., SENTIGENT FINANCIAL SOLUTIONS, LLC, SKYE HARBOR FINANCIAL, SQUAW ISLAND LLC., STERLING CAPITOL LLC, TASK FORCE INVESTMENTS, TAVERNIER WEALTH MANAGEMENT, THE RETIREMENT OPTIMIZATION GROUP, VANDERBILT FINANCIAL GROUP WESTPORT, WALSH FINANCIAL SOLUTIONS, WARD FINANCIAL, WEALTH MANAGEMENT STRATEGIES, WEALTH MARK ADVISORY SERVICES, WILLIAMS CAPITAL CORPORATION, WORDEN WEALTH MANAGEMENT
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Woodbury, NY
- Filing period: October 2026
- Form ADV filing dated: February 27, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/116537
- AdvisorCensus page: https://advisorcensus.com/firm/vanderbilt-advisory-services-woodbury-ny-116537

## Quick answers

**How is Vanderbilt Advisory Services compensated?**
On its Form ADV (Item 5.E, October 2026), Vanderbilt Advisory Services reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees).

**Where is Vanderbilt Advisory Services located?**
Vanderbilt Advisory Services' principal office is in Woodbury, NY, according to its Form ADV; the March 2026 filing also lists 52 other offices (Schedule D, Section 1.F).

**Is Vanderbilt Advisory Services registered with the SEC or a state?**
Vanderbilt Advisory Services is an SEC-registered investment advisory firm, registered since 2012. Status as filed: Approved. CRD 116537.

**How much does Vanderbilt Advisory Services manage?**
Vanderbilt Advisory Services reports $2,111,673,883 in regulatory assets under management in its Form ADV filing dated February 27, 2026 (92% discretionary).

**How have Vanderbilt Advisory Services' assets and staff changed since 2021?**
In the Form ADV data for Vanderbilt Advisory Services: Regulatory assets under management: $736,703,626 in the October 2021 data and $2,111,673,883 in the October 2026 data, up 187%. Total employees: 95 in October 2021 and 161 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Vanderbilt Advisory Services serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (5,804); high net worth individuals (395); pension and profit sharing plans (but not the plan participants or government pension plans) (243).

**Does Vanderbilt Advisory Services report any disciplinary disclosures?**
Reports 3 disclosure items on Form ADV Item 11: yes answers to 11.D(2) (another regulator's finding of a violation), 11.D(4) (another regulator's order in the past ten years), and 11.E(2) (self-regulatory organization's finding of a rule violation). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/116537

**Does Vanderbilt Advisory Services state an account minimum?**
Its Form ADV Part 2A brochure dated December 16, 2025 says: "There are no minimum asset or income requirements to be a client."

**What changed in Vanderbilt Advisory Services' recent Form ADV filings?**
In the March 2026 filing data: Added the business name Aston Consulting Group. Added an office in Jericho, NY.

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

### Fees and minimums (Form ADV Part 2A brochure dated December 16, 2025)

- Account minimum: None

> There are no minimum asset or income requirements to be a client.

- Minimum annual fee: $90

> The minimum annual management fee is $90.00.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Regulatory assets under management (Item 5.F)
- Total: $2,111,673,883
- Discretionary: $1,936,052,938
- Non-discretionary: $175,620,945

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 5,804 | $1,088,886,435 |
| High net worth individuals | 395 | $938,916,209 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 243 | $62,168,807 |
| Charitable organizations | 8 | $1,734,229 |
| Corporations or other businesses not listed above | 20 | $19,968,203 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients

### Firm details
- Registered since: 2012 (13 years)
- Employees: 161 total, 144 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY
- Disclosures (Item 11): Reports 3 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.D(2): Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?
- 11.D(4): In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?
- 11.E(2): Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/116537

### Other offices (Schedule D, Section 1.F), as of the March 2026 filing
- Albany, NY
- Arvada, CO
- Boonville, IN
- Bridgewater, NJ
- Calabasas, CA
- Canandaigua, NY
- Carle Place, NY
- Cheshire, CT
- Columbus,, OH
- Dublin, OH
- Elk Grove, CA
- Elmira, NY
- Enterprise, AL
- Fairfield, CT
- Fairfield,, IA
- Fairhope, AL
- Fayetteville, NY
- Fruitland Park, FL
- Honolulu, HI
- Hudson, MA
- Incline Village, NV
- Indianapolis, IN
- Irvine, CA
- Jericho, NY
- Long Island City, NY
- Metuchen, NJ
- Minneapolis, MN
- Montpelier, VT
- Naperville, IL
- New Port Richey, FL
- New York, NY
- North Reading, MA
- Orlando, FL
- Patchogue, NY
- Portland, OR
- Rochester, NY
- Rockville, VA
- Rogers, AR
- Saint Augustine, FL
- Saltsburg, PA
- San Jose, CA
- San Leandro, CA
- South Jordan, UT
- Tierra Verde, FL
- Totowa, NJ
- Twisp, WA
- Warwick, NY
- Wayzata, MN
- West des Moines, IA
- Westminster, MD
- Westport, CT
- Yardley, PA

### Websites listed on Form ADV (Item 1.I)
- abundancewealthsolutions.com
- bakerretirement.com
- centered-wealth.com
- cgwealth.com
- cjwfinancial.com
- commoninterests.com
- drlinvestinsure.com
- endeavorfg.com
- evansgroupfinancialadvisors.com
- favawm.com
- fortresswealthsolutions.com
- gardinerpwm.com
- greenvest.eco
- gryphonasset.com
- hansensadvisory.com
- harborwisecapital.com
- infiniteinvestmentstrategies.com
- jwbrower.com
- keystonefinancialedge.com
- ktwealthmanagement.com
- lunariafinancial.com
- masterpiecefinancialgroup.com/about-me
- mmsassetmanagement.com
- myacgroup.com
- pfgnyonline.com
- qfconcepts.com
- rainbowinvestmentsolutions.com
- rogfa.com
- sentigentfinancial.com
- skyeharborfinancial.com
- taskforceinvestments.biz
- theiln.agency/securities
- vanderbiltfg.com
- walshfinancialsolutions.com
- wardfinancial.com
- wealthmarkas.com
- williamscapitalcorp.com

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $736,703,626 | 95 | September 2, 2021 |
| October 2022 | $1,042,798,421 | 93 | April 18, 2022 |
| October 2023 | $966,507,881 | 103 | August 22, 2023 |
| October 2024 | $1,103,544,071 | 107 | June 11, 2024 |
| October 2025 | $1,620,533,275 | 132 | July 11, 2025 |
| October 2026 | $2,111,673,883 | 161 | February 27, 2026 |

Regulatory assets under management: $736,703,626 in the October 2021 data and $2,111,673,883 in the October 2026 data, up 187%.
Total employees: 95 in October 2021 and 161 in October 2026.

## Changes in the filing (last 12 months)

### March 2026
- Added the business name Aston Consulting Group.
- Added an office in Jericho, NY.

### January 2026
- Updated its list of owners and control persons (Schedule A).

### December 2025
- Regulatory assets under management went from $1,620,533,275 to $2,111,673,883 (+30%).
- Employees performing advisory functions went from 124 to 144.
- Added an office in Boonville, IN.
- Added an office in Enterprise, AL.
- Added an office in Fairfield,, IA.
- Added an office in Hudson, MA.
- Added an office in Incline Village, NV.
- Added an office in Montpelier, VT.
- Added an office in Naperville, IL.
- Added an office in Saint Augustine, FL.
- No longer lists an office in Fairfield, IA.
- No longer lists an office in Freehold, NJ.
- No longer lists an office in Henderson, NV.
- No longer lists an office in Lombard, IL.
- No longer lists an office in Newburgh, IN.
- No longer lists an office in Saint Augustine,, FL.
- No longer lists an office in Wells, VT.

### November 2025
- Added the business name Chamberlain Group.
- Added the business name Harborwise Financial.
- Added an office in Irvine, CA.
- Added an office in Wayzata, MN.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Vanderbilt Advisory Services (CRD 116537): Form ADV filing data as of October 2026.