Greenberg Financial Group
- Regulatory AUM
- $407M
- Discretionary
- $368M
- Clients
- 804
- Avg AUM / client
- $506K
- Accounts
- 1,175
- Employees
- 10
AUM over time
Annual snapshots from Form ADV filings · as of Mar 16, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 675 | $178M | 43.7% |
| High net worth individuals | 125 | $229M | 56.2% |
| Pension and profit sharing plans | 4 | $664K | 0.16% |
People (7)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Dean Steven Greenberg | President | Jan 1995 (32y) | 75% or more | |
| Maxwell, Susan Jane | Vice President | Jun 2006 (20y) | Less than 5% | |
| Sebastian R Encinas Borsini | Registered representative | Jul 2023 (3y) | ||
| David Michael Sherwood | Registered representative | Feb 2025 (1y) | ||
| Dylan Jacob Greenberg | Registered representative | Feb 2025 (1y) | ||
| Mark Joseph Kinney | Registered representative | Feb 2025 (1y) | ||
| Todd Glick | Registered representative | Feb 2025 (1y) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/16/2026 | 911 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: SEC RULE 17A-3, NASD RULES 2110, 3010, 3110 - GREENBERG FINANCIAL GROUP'S SUPERVISORY SYSTEM DID NOT PROVIDE FOR SUPERVISION REASONABLY DESIGN TO ACHIEVE COMPLIANCE WITH APPLICABLE SECURITIES LAWS, REGULATIONS AND NASD RULES CONCERNING THE MAINTENANCE OF ACCURATE BOOKS AND RECORDS. THE FIRM FAILED TO SHOW THE CORRECT TIME OF ENTRY OR THE CORRECT TIME OF EXECUTION, OR BOTH, ON BROKERAGE ORDER MEMORANDA. Status: Final Sanction Detail: FIRM AGREED TO PAY $12,500.00 FINE PURSUANT TO FINRA'S APPROVED PAYMENT PLAN. Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE ENRTY OF THE AWC, FULLY RESOLVING THESE MATTERS WITH FINRA. AS PART OF THE AWC, THE FIRM WAS CENSURED, AGREED TO A $12,500.00 FINE, AND AGREED TO REVISE IT'S WRITTEN SUPERVISORY PROCEDURES WITHIN 30 DAYS OF THE ACCEPTANCE OF THE AWC BY THE NAC.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Educational seminars/workshops
- • Other services
Custody
Reported custodians
- RBC $405M (99% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 16, 2026.
View current Form ADV (SEC/IAPD) ↗