Greenberg Financial Group (Tucson)

Name: Greenberg Financial Group
Address: 4511 N Campbell Ave #255, Tucson, AZ, 85718 6423
Telephone: 520-544-4909

Greenberg Financial Group is a large advisory firm based in Tucson. It manages $194.03 million of regulatory assets for 991 client accounts. It has been registered with the SEC as an adviser since 2002 and has operated in the jurisdictions of Arizona and Florida.

Greenberg Financial Group provides portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, educational seminars and workshops, and portfolio reviews. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Greenberg Financial Group: assets under management

The assets under management (AUM) of Greenberg Financial Group is $194.03 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 175% since the beginning of its operation, and $355.45 thousand of the total AUM is attributable to clients outside of the United States.

The firm manages $194.03 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $195.79 thousand each.

Investments

The firm invests in exchange traded securities the most. They account for 68% of the total AUM. The second-largest asset type is investment and business development companies, which make up 10% of the firm’s portfolio. Investments in cash and cash equivalents form 10% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Greenberg Financial Group for their services and products based on a percentage of assets under management, fixed fees, and commissions. Commissions are paid and earned by the adviser when a trade or a sales of an investment is made. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Dean Steven Greenberg serves?

The firm provides services to individuals and high net worth individuals. The largest group of clients of Dean Steven Greenberg is individuals with 954 clients and $141.35 million of assets under management. Among the 9 most similar advisory firms, Greenberg Financial Group has the highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $194.03 million for 991 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.

Greenberg Financial Group doesn't advise any private funds.

Careers at Greenberg Financial Group

The company employs 6 people that are either part- or full-time employees. 67 percent of the employees work as investment advisers or researchers. 4 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.

Dean Steven Greenberg has been acting as President since 1 Jan 1995. Susan Jane Maxwell joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Dean Steven Greenberg	President	1 Jan 1995	75% - 100%	1186469
Marc Barry Fine	Principal	1 May 1999	Other	3114937
Heath Orin Lauseng	Vice president	1 Jul 1999	Other	2778548
David Alan Hamra	Principal/secretary	1 Oct 1999	Other	1699113
Dean Steven Greenberg	Chief compliance officer	1 Jan 2005	75% - 100%	1186469
Heath Orin Lauseng	Cheif compliance officer	1 Jan 2006	Other	2778548
Susan Jane Maxwell	Vice president	1 Jun 2006	Other	4005580
Kevin Edward Rupprecht	Chief compliance officer	1 Dec 2006	Other	4794672
Susan Jane Maxwell	Chief compliance officer	1 Jun 2007	Other	4005580

Based in Tucson

The principal office where Greenberg Financial Group performs its advisory services is located at 4511 N Campbell Ave #255, Tucson, AZ 85718 6423, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 520-544-4909 or by fax 520-544-0640. The normal business hours are 6:30am - 3:30pm mst on Monday - Friday. You can find more information about the New York firm at greenbergfinancial.com.