{"url":"https://nivawealth.com/firms/greenberg-gary-louis-108423","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/108423","regulatoryAum":141122774,"crd":"108423","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"4343796","suffix":null,"lastName":"GREENBERG","firstName":"GARY","middleName":"LOUIS"}],"total":1,"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":"2021-03-29","regulatoryAum":139113575,"clients":82,"employees":1,"offices":1},{"filedOn":"2022-03-24","regulatoryAum":149006203,"clients":79,"employees":1,"offices":1},{"filedOn":"2023-03-29","regulatoryAum":129994150,"clients":68,"employees":1,"offices":1},{"filedOn":"2024-03-28","regulatoryAum":132979318,"clients":57,"employees":1,"offices":1},{"filedOn":"2025-03-31","regulatoryAum":141859508,"clients":56,"employees":1,"offices":1},{"filedOn":"2026-03-27","regulatoryAum":141122774,"clients":67,"employees":1,"offices":1}],"secFileNumber":"801-24149","legalName":"Greenberg Gary Louis","displayName":"Greenberg Gary Louis","slug":"greenberg-gary-louis-108423","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Minnesota sole proprietorship","fiscalYearEnd":"December","headquarters":{"street":"6955 Sand Ridge Road","city":"Eden Prairie","state":"MN","stateName":"Minnesota","country":"United States","postalCode":"55346"},"tradeNames":[],"registration":{"secApproved":"15 May 1985","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1970393.4603174604,"staff":{"employees":1,"advisory":1,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":141122774,"discretionary":141122774,"discretionaryAccounts":124,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":2},"clientTypes":[{"label":"Individuals (other than HNW)","clients":34,"regulatoryAum":20340134},{"label":"High-net-worth individuals","clients":29,"regulatoryAum":103794654},{"label":"Charitable organizations","clients":3,"fewerThan5":true,"regulatoryAum":3542825},{"label":"Other","clients":1,"regulatoryAum":13445161}],"feePrograms":[{"role":"other","program":"Stand-alone consulting","summary":"A negotiable flat fee set by the scope and complexity of the services, generally half payable on signing; an asset-based fee may apply to consulting on assets not under management.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1030228","versionId":1030228,"submittedOn":"2026-03-27","documentName":"PART 2A:  FIRM BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T11:59:42.86762+00:00","documents":[{"name":"PART 2A:  FIRM BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1030228","versionId":1030228,"submittedOn":"2026-03-27"}]},"custodians":[{"name":"National Financial Services LLC","shortName":"Fidelity","location":"Boston, MA","smaAssets":125756455}],"custodyNote":"Greenberg Gary Louis does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Gary Greenberg","title":"Sole Proprietor & Chief Compliance Officer","crd":"4343796"}],"ownership":[{"label":"Gary Greenberg","detail":"Sole proprietor & chief compliance officer in the 75% or more ownership band and a control person, since January 1985."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Minnesota","offices":1,"addresses":[{"street":"6955 Sand Ridge Road","city":"Eden Prairie","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"612-360-4557","stateRegisteredReps":1,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Pension consulting services","Other"],"financialPlanningClients":"1-10","assetMix":[{"label":"Exchange-traded equity securities","percent":36},{"label":"U.S. government/agency bonds","percent":14},{"label":"U.S. state and local bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":40},{"label":"Cash and cash equivalents","percent":9}],"privateFunds":0},"sources":{"adv1FilingDate":"27 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/108423/PDF/108423.pdf","brochureDate":"27 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1030228","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 Greenberg Gary Louis have?","answer":"Greenberg Gary Louis has 67 clients and manages $141 million for them, as of March 2026. They include 34 individual clients, 29 high-net-worth individuals and 3 charitable organizations.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 27 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Greenberg Gary Louis offer?","answer":"Greenberg Gary Louis 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":"Which custodians does Greenberg Gary Louis use?","answer":"Greenberg Gary Louis’ separately managed account assets are held at National Financial Services LLC (Boston, MA), with $126M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 27 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Greenberg Gary Louis have?","answer":"Greenberg Gary Louis has 1 investment adviser representative registered with state securities authorities, out of 1 employees, and 1 perform investment advisory functions. None are registered representatives of a broker-dealer or 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 Greenberg Gary Louis invest in?","answer":"At the end of its last fiscal year, Greenberg Gary Louis’ separately managed accounts held 40% registered funds (mutual funds, ETFs, BDCs), 36% exchange-traded equities, 14% U.S. government and agency bonds, 9% cash and equivalents and 1% state and local bonds.","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 Greenberg Gary Louis?","answer":"Greenberg Gary Louis’ direct owner is Gary Greenberg (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 27 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Greenberg Gary Louis get paid?","answer":"Greenberg Gary Louis 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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Greenberg Gary Louis?","answer":"Greenberg Gary Louis’ main office is at 6955 Sand Ridge Road, Eden Prairie, MN 55346. Its phone number is 612-360-4557.","source":"Form ADV Part 1A, Item 1.F, filed 27 March 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."}