NEXT FINANCIAL ADVISORS LLC
Adviser information for NEXT FINANCIAL ADVISORS LLC last updated from Form ADV on March 27th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 26 |
|---|---|
| Investment Advisory/Research | 0 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 3,571 | $377,728 |
| Non-Discretionary | 0 | $0 |
| Total | 3,571 | $377,728 |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 3,571 | $377,728 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businesses |
|---|---|
| Compensation | Fixed fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 377,728 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| NEXT FINANCIAL ADVISORS LLC WRAP FEE PROGRAM | NEXT FINANCIAL ADVISORS LLC |
Identifiers
| SEC RIA File Number | 801-126458 |
|---|---|
| SEC ERA File Number | 801-126458 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 316665 |
| Legal Entity Identifier | None |
Principal Office
221 1ST AVE WSUITE 500
SEATTLE
WA
United States
Monday - Friday, 9:00 AM - 6:00 PM
Tel: 202-831-0684, Fax: N/A
Chief Compliance Officer
STEFAN ALAN BERGLUND
MANAGING PARTNER
221 1ST AVE W
SUITE 500
SEATTLE
WA
United States
Tel:
206-321-6955
Fax:
N/A
S*****@************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BERGLUND, STEFAN, ALAN | Individual | – | CHIEF COMPLIANCE OFFICER | 08/2019 | < 5% |
| NEXT FINANCIAL INC. | Domestic Entity | – | MEMBER | 09/2021 | > 75% |
| BERGLUND, STEFAN, ALAN | Individual | NEXT FINANCIAL INC. | MANAGING MEMBER | 08/2019 | 25-50% |
| Behringer, Edward, John | Individual | NEXT FINANCIAL INC. | MANAGING MEMBER | 08/2019 | 25-50% |