GREENBERG FINANCIAL GROUP
Adviser information for GREENBERG FINANCIAL GROUP last updated from Form ADV on March 26th, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Arizona, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 6 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 4 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 869 | $257.8M |
| Non-Discretionary | 0 | $0 |
| Total | 869 | $257.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 297 | $114.9M |
| HNW Individuals | 71 | $142.9M |
| 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 |
| No. of Financial Planning Clients | 51-100 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesEducational seminars/workshopsPORTFOLIO REVIEWS |
|---|---|
| Compensation | % of AUMFixed fees |
| Other Business Activities | Broker-dealerInsurance broker or agent |
Principal Office
4511 N CAMPBELL AVE #255TUCSON
AZ
United States
Monday - Friday, 6:30AM - 3:30PM MST
Tel: 520-544-4909, Fax: 520-544-0640
Websites
Chief Compliance Officer
SUSAN J MAXWELL
VICE PRESIDENT OPERATIONS/COMPLIANCE
4511 N. CAMPBELL AVE #255
TUCSON
AZ
United States
Tel:
520-544-4909
Fax:
520-544-0640
S**@*********************M
(Full email address available in API data)
Regulatory Contact
GREENBERG, DEAN S
PRESIDENT
4511 N CAMPBELL AVE #255
TUCSON
AZ
United States
Tel:
520-544-4909
Fax:
520-544-0640
D***@*********************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 |
|---|---|---|---|---|---|
| GREENBERG, DEAN STEVEN | Individual | – | PRESIDENT | 01/1995 | > 75% |
| MAXWELL, SUSAN JANE | Individual | – | VICE PRESIDENT | 06/2006 | < 5% |
| MAXWELL, SUSAN JANE | Individual | – | CHIEF COMPLIANCE OFFICER | 06/2007 | < 5% |