{"url":"https://nivawealth.com/firms/florian-financial-group-123869","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/123869","regulatoryAum":214969672,"crd":"123869","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"1641308","suffix":null,"lastName":"FLORIAN","firstName":"ROBERT","middleName":"MICHAEL"},{"crd":"5465072","suffix":null,"lastName":"MAY","firstName":"JEFFREY","middleName":"MICHAEL"}],"total":2,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-03-26","regulatoryAum":118129288,"clients":227,"employees":5,"offices":1},{"filedOn":"2022-03-31","regulatoryAum":142802713,"clients":240,"employees":5,"offices":1},{"filedOn":"2023-03-27","regulatoryAum":124699754,"clients":248,"employees":5,"offices":1},{"filedOn":"2024-03-23","regulatoryAum":149578434,"clients":248,"employees":5,"offices":1},{"filedOn":"2025-03-19","regulatoryAum":151384893,"clients":204,"employees":5,"offices":1},{"filedOn":"2026-06-17","regulatoryAum":214969672,"clients":245,"employees":8,"offices":1}],"secFileNumber":"801-67944","legalName":"Florian Financial Group LLC","displayName":"Florian Financial Group","slug":"florian-financial-group-123869","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"New York limited liability company","fiscalYearEnd":"December","headquarters":{"street":"1825 Maple Road, Suite 240","city":"Williamsville","state":"NY","stateName":"New York","country":"United States","postalCode":"14221"},"tradeNames":[],"registration":{"secApproved":"6 June 2007","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":760837.7142857143,"staff":{"employees":8,"advisory":5,"brokerDealerReps":0,"insuranceAgents":2,"promoters":0},"aum":{"regulatory":214969672,"discretionary":214969672,"discretionaryAccounts":957,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":1,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":187,"regulatoryAum":57930651},{"label":"High-net-worth individuals","clients":58,"regulatoryAum":128474589},{"label":"Pension and profit-sharing plans","clients":null,"fewerThan5":true,"regulatoryAum":18848809},{"label":"Corporations and other businesses","clients":null,"fewerThan5":true,"regulatoryAum":9715623}],"feePrograms":[{"role":"main","program":"Investment Supervisory Services","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1034256","versionId":1034256,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-03-30","documentName":"FLORIAN FORM ADV PART 2A 2026","fee_rate_low":0.5,"fee_rate_high":1.2,"fee_negotiable":false,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Financial Planning","summary":"Fixed fee for financial planning, typically $500 to $2,000 depending on the arrangement; advance payment will not exceed $1,200 for work not completed within six months.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1034256","versionId":1034256,"submittedOn":"2026-03-30","documentName":"FLORIAN FORM ADV PART 2A 2026"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T12:42:28.424368+00:00","documents":[{"name":"FLORIAN FORM ADV PART 2A 2026","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1034256","versionId":1034256,"submittedOn":"2026-03-30"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":186405240}],"custodyNote":"Florian Financial Group has custody of $12M for 15 clients.","otherCustodians":[],"leadership":[{"name":"Sarah Gruszka","title":"Chief Compliance Officer","crd":"5316480"},{"name":"Robert Florian","title":"Member","crd":"1641308"}],"ownership":[{"label":"Robert Florian","detail":"Member in the 75% or more ownership band and a control person, since March 2004."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"New York","offices":1,"addresses":[{"street":"1825 Maple Road, Suite 240","city":"Williamsville","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"716-810-9590","stateRegisteredReps":3,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Pension consulting services"],"financialPlanningClients":"51-100","assetMix":[{"label":"Exchange-traded equity securities","percent":35},{"label":"Securities issued by registered investment companies or business development companies","percent":40},{"label":"Cash and cash equivalents","percent":25}],"privateFunds":0},"sources":{"adv1FilingDate":"17 June 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/123869/PDF/123869.pdf","brochureDate":"30 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1034256","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Florian Financial Group have?","answer":"Florian Financial Group has 245 clients and manages $215 million for them, as of June 2026. They include 187 individual clients and 58 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 17 June 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Florian Financial Group offer?","answer":"Florian Financial Group provides financial planning, portfolio management for individuals and small businesses, and pension consulting.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Florian Financial Group charge?","answer":"Florian Financial Group charges 0.50%–1.20% a year for its Investment Supervisory Services. The fee is billed in advance and is not negotiable.","source":"FLORIAN FORM ADV PART 2A 2026, filed 30 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Florian Financial Group use?","answer":"Florian Financial Group’s separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $186M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 17 June 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Florian Financial Group have?","answer":"Florian Financial Group has 3 investment adviser representatives registered with state securities authorities, out of 8 employees, and 5 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 2 employees are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Florian Financial Group invest in?","answer":"At the end of its last fiscal year, Florian Financial Group’s separately managed accounts held 40% registered funds (mutual funds, ETFs, BDCs), 35% exchange-traded equities and 25% cash and equivalents.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Florian Financial Group?","answer":"Florian Financial Group’s direct owner is Robert Florian (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 17 June 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Florian Financial Group get paid?","answer":"Florian Financial Group is paid through a percentage of assets under management, hourly charges and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Florian Financial Group?","answer":"Florian Financial Group’s main office is at 1825 Maple Road, Suite 240, Williamsville, NY 14221. Its phone number is 716-810-9590.","source":"Form ADV Part 1A, Item 1.F, filed 17 June 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}