The PFG INVESTMENTS, LLC is a privately held investment adviser that advises $1.29Bn in regulatory assets under management held in 0 SEC fund types across 0 investment strategies. PFG INVESTMENTS, LLC is a Retail Wealth A retail wealth manager is a manager whose >=75% of total assets under management are managed for individual investors through retail advisory or brokerage channels. Manager. Assets increased by 598.03% over the last 5-years.
The Group has been registered with the SEC for 34.19 years and is comprised of 2 filing and 0 relying advisers. They operate out of 78 office locations with their Headquarters at 125 FROEHLICH FARM BLVD., WOODBURY, NY. The Group has been subject to regulatory enforcement actions. They are regulated by 1 US and Non-US bodies.
They have 205 employees comprised of 188 investment and 17 non-investment staff. The total number of Employees increased by 91.59% over the last 5-years.
Their $1.29Bn in assets advised are owned by 0 private funds, 0 public funds and BDCs and 39 other accounts. Assets of High Net Worth Individuals clients own $669.64mn or 51.71% of Total Assets and Individuals own $612.14mn or 47.27% of Total Assets.
The Group's top investment strategies include , representing of total assets, respectively.
They advise 3 types of clients, top clients are High Net Worth Individuals and Individuals.
The Group uses 0 Fund Administrators, 0 Fund Auditors, 0 Prime Brokers, 0 Custodians and 0 Marketers. It does not report a third-party Fund Administrator in 0 private funds with $0 in assets.
The Group discloses fixed fees and management fees.
PFG INVESTMENTS, LLC names 0 sub-advisers to 0 different funds advised by the group. The Group has been named as the sub-adviser to 0 funds.
They have a HIGH-WATCH risk business model that requires a high degree of process maturity to manage operational risk. A Manager Group has a "High Complexity" when 25% or more of 63 business conditions measured require a high level of process maturity to manage the risk. The "Watch" suffix indicates that one or more of the following business conditions carry a high-complexity score: 1) % Fund Assets Valued Internally, 2) prior Regulatory Violations, 3) Unqualified Audits, 4) Multi-Functional C-Suite and 5) Business Concentration Risk with an Auditor or Administrator.
In PFG INVESTMENTS, LLC's case, they have 15 business conditions that require high process maturity and 1 Watch Factors.