Pfg Investments, LLC (Woodbury)

Pfg Investments, LLC is a large advisory firm based in Woodbury. It manages $343.86 million of regulatory assets for 1,941 client accounts. It has been registered with the SEC as an adviser since 2012 and has operated in the jurisdictions of Arizona, Arkansas, California, and 35 other states.

Pfg Investments provides financial planning services, portfolio management for individuals and small businesses, and portfolio management for businesses and institutional clients. It prepares financial plans for more than 50 clients. On top of advisory services, the firm doesn't engage in other business activities.

Pfg Investments: assets under management

The assets under management (AUM) of Pfg Investments, LLC is $343.86 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 1352% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $343.86 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $177.16 thousand each.

Investments

The firm invests in exchange traded securities the most. They account for 100% of the total AUM.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Pfg Investments, LLC for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Hourly charges are usually charged for consulting work and special projects. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Pfg Investments serves?

The firm provides services to individuals and charitable organizations. The largest group of clients of Pfg Investments is individuals with 1,935 clients and $342.39 million of assets under management. Among the 12 most similar advisory firms, Pfg Investments has the highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $343.86 million for 1,941 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Pfg Investments doesn't advise any private funds.

Careers at Pfg Investments, LLC

The company employs 78 people that are either part- or full-time employees. 47 percent of the employees work as investment advisers or researchers. 78 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Stephen Alfred Distante	Ceo	1 Sep 2000	75% - 100%	2206574
Frank S Marano	Finop	1 Nov 2003	Other	4456721
Barry Alan Champney	Coo	1 Jul 2007	Other	731205
Stephen Werner Kaupp	Vice-president	1 Oct 2009	Other	3008687
Joseph John Trifiletti	President, cco	1 May 2011	Other	5295897
Barry Alan Champney	Cco	1 Apr 2013	Other	731205
Richard Burt Feinberg	Finop	1 Mar 2016	Other	205662
Thomas James Murphy	Cco	1 Jun 2018	Other	839873
Megan Lynn Plapp	Finop	1 Aug 2018	Other	6790596
Steven Matthew Howe	Principal	1 Nov 2018	Other	5088131
Daniel Antenor	Principal	1 Nov 2018	Other	5839052

Based in Woodbury

The principal office where Pfg Investments, LLC performs its advisory services is located at 125 Froehlich Farm Blvd., Woodbury, NY 11797, which is also the mailing address of the firm. An additional office of the firm is in Newmarket, NH. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 631-845-5100 or by fax 631-845-4531. The normal business hours are 9:00 am to 4:00 pm on Monday - Friday.