Greenberg Financial Group provides financial planning, portfolio management for individuals and small businesses, and educational seminars. Financial planning was provided to 251–500 clients last fiscal year.
Greenberg Financial Group reports 804 clients. They include 675 individual clients, 125 high-net-worth individuals, and 4 pension and profit-sharing plans. Of its assets, 90.5% ($368M across 1,010 accounts) are managed with discretion; $38.8M across 165 accounts are not. Of its clients, 1% are outside the U.S. It advised 10 clients without assets under management last fiscal year.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 84% | 44% |
| High-net-worth individuals | 16% | 56% |
| Pension and profit-sharing plans | <1% | <1% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 675 | $178M | 43.7% | $263K |
| High-net-worth individuals | 125 | $229M | 56.2% | $1.83M |
| Pension and profit-sharing plans | Fewer than 5 | $664K | 0.2% | $166K |
| Total | 804 | $407M | 100% | — |
- Clients
- 675
- Regulatory AUM
- $178M
- AUM share
- 43.7%
- Avg. per client
- $263K
- Clients
- 125
- Regulatory AUM
- $229M
- AUM share
- 56.2%
- Avg. per client
- $1.83M
- Clients
- Fewer than 5
- Regulatory AUM
- $664K
- AUM share
- 0.2%
- Avg. per client
- $166K
Total
- Clients
- 804
- Regulatory AUM
- $407M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 1%
- Clients advised without assets under management last fiscal year
- 10
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 251–500
Greenberg Financial Group charges up to 1.50% a year for its Portfolio Management Services. The fee is billed in advance and is negotiable.
Fee details and sources
Dean Greenberg owns 75% or more of Greenberg Financial Group. The leadership team of Greenberg Financial Group includes President Dylan Greenberg and Chief Compliance Officer Todd Glick. It has 10 employees, 6 of them in advisory roles.
Leadership
- Dylan GreenbergPresident
- Todd GlickChief Compliance Officer
- Dean GreenbergCEO
Investment adviser representatives
6 representatives listed in the SEC register as of 9 October 2026.
- Sebastian R Encinas Borsini
- Todd Glick Jr
- Dean Steven Greenberg
- Dylan Jacob Greenberg
- Mark Joseph Kinney
- David Michael Sherwood
Staff
- 10 employees
- 6 in advisory functions
- 6 state-registered reps
- 6 insurance agents
- Owns 75% or more of Greenberg Financial Group
Dean Greenberg
Control person · since January 1995
Greenberg Financial Group’s regulatory assets grew 2.2× from $187M (March 2021) to $407M (March 2026); clients rose from 292 to 804 and employees from 5 to 10.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| March 2026 | $407M | 804 | 10 | 1 |
| June 2025 | $331M | 382 | 6 | 1 |
| March 2024 | $258M | 368 | 6 | 1 |
| March 2023 | $189M | 316 | 5 | 1 |
| March 2022 | $207M | 324 | 5 | 1 |
| March 2021 | $187M | 292 | 5 | 1 |
Besides its headquarters, Greenberg Financial Group has 0 offices, with 1 listed address in Arizona.
Arizona · 1 listed address
- 4511 N Campbell Ave #255, TucsonHQ
Contact and registration details
- Legal name
- Greenberg Financial Group
- Headquarters
- 4511 N Campbell Ave #255, Tucson, AZ 85718-6423
- Website
- greenbergfinancial.com
- Phone
- 520-544-4909
- SEC file
- 801-36988
- Structure
- Arizona corporation
- Fiscal year end
- December
Greenberg Financial Group uses RBC Capital Markets ($405M) as custodian for its separately managed accounts. Greenberg Financial Group does not have custody of client assets.
- RBC Capital MarketsRBC Capital Markets, LLC · New York, NY · $405M100%
At year end, Greenberg Financial Group’s separately managed accounts were largely in funds (40%) and bonds (33%). Its reported 13F holdings for the quarter ended 30 June 2025 total $270M across 126 positions; the largest are State Str SPDR S&P 500 ETF T (14.9%), Invesco Qqq TR (9.4%) and Invesco Exchange Traded FD T (5.7%).
What the accounts hold
- Stocks20%
- Funds40%
- Bonds33%
- Investment grade corporate bonds21%
- U.S. government and agency bonds9%
- State and local bonds1%
- Sovereign bonds1%
- High-yield corporate bonds1%
- Cash5%
- Other2%
- Derivatives2%
Reported 13F holdings
- $270M
- Reported 13F value
- 126
- Positions
- 56.2%
- In the 10 largest
- +11.5%
- Value vs. prior quarter
- State Str SPDR S&P 500 ETF T · TR Unit14.9%
- Invesco Qqq TR · Unit Ser 19.4%
- Invesco Exchange Traded FD T · S&P500 Eql Wgt5.7%
- State Str SPDR Dow Jones Ind · UT Ser 14.2%
- iShares TR · Russell 2000 ETF4.2%
- Apple Inc.4.1%
- iShares TR · Core S&P Mcp ETF4.1%
- iShares TR · Select Divid ETF3.7%
- Vanguard Whitehall Fds · High Div Yld3.2%
- Nvidia Corporation2.8%
Together, the ten largest are 56.2% of reported value.
How many clients does Greenberg Financial Group have?
Greenberg Financial Group has 804 clients and manages $407 million for them, as of March 2026. They include 675 individual clients, 125 high-net-worth individuals, and 4 pension and profit-sharing plans.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 16 March 2026
What services does Greenberg Financial Group offer?
Greenberg Financial Group provides financial planning, portfolio management for individuals and small businesses, and educational seminars.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How much does Greenberg Financial Group charge?
Greenberg Financial Group charges up to 1.50% a year for its Portfolio Management Services. The fee is billed in advance and is negotiable.
Which custodians does Greenberg Financial Group use?
Greenberg Financial Group’s separately managed account assets are held at RBC Capital Markets, LLC (New York, NY), with $405M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 16 March 2026
How many financial advisors does Greenberg Financial Group have?
Greenberg Financial Group has 6 investment adviser representatives registered with state securities authorities, out of 10 employees, and 6 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 6 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
What does Greenberg Financial Group invest in?
At the end of its last fiscal year, Greenberg Financial Group’s separately managed accounts held 40% registered funds (mutual funds, ETFs, BDCs), 21% investment grade corporate bonds, 20% exchange-traded equities, 9% U.S. government and agency bonds, 5% cash and equivalents, 2% derivatives, 1% state and local bonds, 1% sovereign bonds and 1% high-yield corporate bonds.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Greenberg Financial Group?
Greenberg Financial Group’s direct owner is Dean Greenberg (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 16 March 2026
How does Greenberg Financial Group get paid?
Greenberg Financial Group is paid through a percentage of assets under management 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
Is Greenberg Financial Group registered with the SEC?
Yes, Greenberg Financial Group has been registered with the SEC as an investment adviser since 27 August 1990. Its CRD number is 38747 and its SEC file number is 801-36988.
Source: Form ADV Part 1A, Item 1, filed 16 March 2026; IAPD firm record
How do I contact Greenberg Financial Group?
Greenberg Financial Group’s main office is at 4511 N Campbell Ave #255, Tucson, AZ 85718-6423. Its phone number is 520-544-4909. Its website is greenbergfinancial.com.