SourcingSourcing

NGC FINANCIAL, LLC

A66
CRD 139992·SEC 801-129067·BAYSIDE, NY
AUM
$57.1M
$25M-$100M
Est. Revenue
$571K
@ 1% on AUM
Est. EBITDA
$171K
@ 30% margin
Est. Deal Value
$1.4M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
NGC FINANCIAL, LLC
CRD
139992
SEC file #
801-129067
EIN
—
DBA names
—

Economics

AUM
$57.1M
AUM band
$25M-$100M
AUM trajectory
'25'26
$57.1M → $57.1M▬ 0%
Client mix
Individuals Other78

Operations

Employees (total)
1
Advisory staff (per ADV)
1
Advisory staff (5-yr trend)
'25'26
1 advisors → 1 advisors▬ 0%
Primary office
BAYSIDE NY
Branches
—

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — businesses
Fee basis
% of AUMHourly chargesFixed feesCommissions

Filings

Latest ADV filing
09/02/2025
ADV-W filed at
—
Website
ngcfinancial.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
CAROUSSO, NEIL, GEORGE
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
1
Control Persons
CAROUSSO, NEIL, GEORGE
Solo Advisor Indicator
Yes
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
NGCFINANCIAL.COM
Rdap Domain Creation Date
2000-06-15T20:37:02Z
Rdap Firm Age Years
26
Rdap Firm Age Band
20+y
Rdap Registrar
Register.com - Network Solutions, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Local market & wealth

Rank targets by how wealthy the local market is

Soi High Wealth Score
0.2614
Soi Zip Pct 200k Plus
0.0763
Soi Zip Returns 200k Plus
1,100
Soi Zip Total AGI
1,147,212
Fdic Zip Total Deposits
60,228,858,000
Fdic Zip Branch Count
452
Fdic Zip Top Banks
Citibank, National Association
Capital One, National Association

Compliance & brand

Firm Registration Status
active

All other collected signals (24)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
1
Bc Firm Active IA Count
1
Bc Firm IAR Count
1
Custodian Candidates
Full
E*trade4
Fdic Zip Branches Raw
Home Savings of America, FSBBayside, NY
Bayside Federal Savings BankBayside, NY
Fdic Zip HHI
638.75
Fdic Zip Top Bank Share Pct
14.96
Fdic Zip Year
2025
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2027-06-15T20:37:03Z
Rdap Domain Last Changed
2023-03-06T20:44:51Z
Rdap Nameservers
Dns101.register.comDns102.register.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer Prohibited
Soi Year
2022
Soi Zip Distribution
Stub 1
AGI53,973
Returns4,610
Stub 2
AGI100,611
Returns2,750
Stub 3
AGI117,375
Returns1,890
Soi Zip Total Business Income
46,441
Soi Zip Total Cap Gains
40,481
Soi Zip Total Dividends
17,848
Soi Zip Total Returns
14,420
Top Owner CRD
2523062
Trust Company Affiliate
No

People (1)

1
CAROUSSO, NEIL, GEORGE
IAR · Direct Owner · 87.5%
2523062