FLORIAN FINANCIAL GROUP LLC
Adviser information for FLORIAN FINANCIAL GROUP LLC last updated from Form ADV on March 23rd, 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 | New York, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 1 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 829 | $149.6M |
| Non-Discretionary | 0 | $0 |
| Total | 829 | $149.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 205 | $73.0M |
| HNW Individuals | 35 | $65.5M |
| 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 | 8 | $11.0M |
| 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 | 1 |
| No. of Financial Planning Clients | 51-100 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting services |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-67944 |
|---|---|
| SEC ERA File Number | 801-67944 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 123869 |
| Legal Entity Identifier | None |
Principal Office
1825 MAPLE ROADSUITE 240
WILLIAMSVILLE
NY
United States
Monday - Friday, 8:30 AM - 5:00 PM
Tel: 716-810-9590, Fax: 716-810-9592
Websites
Chief Compliance Officer
SARAH GRUSZKA
1825 MAPLE ROAD
SUITE 240
WILLIAMSVILLE
NY
United States
Tel:
716-810-9590
Fax:
716-810-9592
S***********@************************M
(Full email address available in API data)
Regulatory Contact
ROBERT M. FLORIAN
MEMBER
1825 MAPLE ROAD
SUITE 240
WILLIAMSVILLE
NY
United States
Tel:
716-810-9590
Fax:
716-810-9592
B*********@************************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 |
|---|---|---|---|---|---|
| FLORIAN, ROBERT, MICHAEL | Individual | – | MEMBER | 03/2004 | > 75% |
| GRUSZKA, SARAH, E. | Individual | – | CHIEF COMPLIANCE OFFICER | 04/2007 | < 5% |