GREENBERG FINANCIAL GROUP

CRD

38747

SEC file #

801-36988

EIN

860903680

DBA names

—

Economics

AUM

$406.9M

AUM band

$100M-$500M

AUM trajectory

'20 · $194.0M

'21 · $227.7M

'22 · $187.4M

'23 · $206.6M

'25 · $331.2M

'26 · $406.9M

'20'26

$194.0M → $406.9M▲ +110%

sec adv history

Client mix

Individuals Other	675
Individuals High Net Worth	125
Pension Profit Sharing Plans	4

Operations

Employees (total)

Advisory staff (per ADV)

Advisory staff (5-yr trend)

'20 · 4 advisors

'21 · 4 advisors

'22 · 4 advisors

'23 · 6 advisors

'25 · 6 advisors

'26 · 6 advisors

'20'26

4 advisors → 6 advisors▲ +50%

sec adv history

Primary office

TUCSON AZ

Branches

—

Custodian & Brokerage

Primary custodian

E*Tradelow confidence

adv brochure

Services offered

Financial planningPortfolio mgmt — individualsEducational Seminars WorkshopsOther Advisory Services

Fee basis

% of AUMFixed fees

Filings

Latest ADV filing

03/16/2026

ADV-W filed at

—

Website

greenbergfinancial.com

Compliance

Disclosures (firm)

Trademark

—

Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name

GREENBERG, DEAN, STEVEN

Top Owner Pct

87.5

Top Owner Entity Kind

Owner Count

Control Persons

GREENBERG, DEAN, STEVEN

Glick, Todd

Solo Advisor Indicator

Succession Risk Solo Owner

Yes

Is Parent Owned Subsidiary

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed

sec adv w

Web presence ★

Stale website = winding down

Web Signal Quality

Rdap Domain

GREENBERGFINANCIAL.COM

Rdap Domain Creation Date

2000-07-27T16:35:04Z

Rdap Firm Age Years

Rdap Firm Age Band

20+y

Rdap Registrar

Network Solutions, LLC

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book

Yes

Form 5500 Plan Count

Form 5500 Total Participants

Form 5500 Compensation Trajectory 3y

2024

Form 5500 Plan Count Trajectory 3y

2024

Schedule C Service Provider Rows

SEC EDGAR

Edgar Cik

0000946626

Edgar Registered

Yes

Edgar Filing Count

Edgar First Filing Date

2002-03-01

Edgar Last Filing Date

2026-04-16

Edgar 13f Count

Edgar 13f Latest AUM Estimate

Filing Date2026-04-16

Accession0002085853-26-000383

Local market & wealth

Rank targets by how wealthy the local market is

Soi High Wealth Score

0.4656

Soi Zip Pct 200k Plus

0.259

Soi Zip Returns 200k Plus

3,760

Soi Zip Total AGI

2,865,864

Fdic Zip Total Deposits

40,926,492,000

Fdic Zip Branch Count

343

Fdic Zip Top Banks

Wells Fargo Bank, National Association

JPMorgan Chase Bank, National Association

Compliance & brand

Firm Registration Status

active

sec adv w

All other collected signals (27)

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

Adv W Recently Filed

sec adv w

Bc Firm Active Bc Count

brokercheck firm search

Bc Firm Active IA Count

brokercheck firm search

Bc Firm IAR Count

brokercheck firm search

Custodian Candidates

Full

E*trade

adv brochure

Edgar Addresses

Mailing

4511 N CAMBELL AVETUCSON, AZ 85718

Business

4511 N CAMPBELL AVETUCSON, AZ 85718

Edgar EIN

860903680

Edgar Recent Filings

13F-HR2026-04-16 · 0002085853-26-000383

13F-HR2026-01-22 · 0002085853-26-000064

Fdic Zip Branches Raw

Bank One, Arizona, National AssociationTucson, AZ

Fdic Zip HHI

1717.13

Fdic Zip Top Bank Share Pct

34.58

Fdic Zip Year

2025

Firm Has Custody

Mailing Office Differs

Rdap Domain Expiration Date

2027-07-27T16:35:04Z

Rdap Domain Last Changed

2023-05-23T00:12:43Z

Rdap Nameservers

Ns57.domaincontrol.comNs58.domaincontrol.com

Rdap Secure Dns Enabled

Rdap Status

Client Transfer Prohibited

Soi Year

2022

Soi Zip Distribution

Stub 1

AGI	32,172
Returns	2,670

Stub 2

AGI	84,583
Returns	2,280

Stub 3

AGI	98,298
Returns	1,590

Soi Zip Total Business Income

106,919

Soi Zip Total Cap Gains

398,942

Soi Zip Total Dividends

180,302

Soi Zip Total Returns

14,520

Top Owner CRD

1186469

Trust Company Affiliate