NOVICK & COMPANY FINANCIAL GROUP, LLC

Advisory Business

Type of Organization	Limited Liability Company
Fiscal Year End	DECEMBER
Legal Location	Connecticut, United States

Employees

Total Number of Employees	7
Investment Advisory/Research	2
Registered Broker-Dealer Representatives	1
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	185	$215.0M
Non-Discretionary	0	$0
Total	185	$215.0M

Clients

Type	Number	RAUM
Individuals	100	$66.5M
HNW Individuals	77	$122.5M
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	<5	$3.7M
Charitable organizations	<5	$904,253
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	<5	$21.3M
Other	0	$0

Type	Number
No. of Non-RAUM Clients	0
No. of Non-U.S. Clients	0
No. of Financial Planning Clients	1-10

Services

Advisory Services	Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)Educational seminars/workshops
Compensation	% of AUM

Wrap Fee Program

Offers Wrap Fee Program	Yes

Acting As	RAUM
Sponsor	0
Portfolio Manager	0
Both for Same	215.0M

Portfolio Manager to Program	Sponsor
NOVICK WRAP FEE ADVISORY PROGRAM	NOVICK & COMPANY FINANCIAL GROUP, LLC

Identifiers

SEC RIA File Number	801-70386
SEC ERA File Number	801-70386
SEC CIK Numbers	None
SEC CRD Numbers	149287
Legal Entity Identifier	None

Principal Office

615 E. HALL AVENUE
JACKSON
WY
United States

Chief Compliance Officer

No. Employees, Historic

RAUM, Historic

No. Clients, Historic