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PFG Investments

Wealth managementIndependent broker-dealer

Woodbury, NYCRD 116537Updated

PFG Investments is an investment adviser based in Woodbury, NY, registered with the SEC since 2012. It provides financial planning and investment management. Its clients include individual clients, high-net-worth individuals, and pension and profit-sharing plans. Its regulatory assets under management total $2.11 billion, as filed on 27 February 2026.

$2.11B
AUM
6,470
Clients
$327K
AUM per individual client
144
Advisory staff
44
Offices
See fees
Annual fee

From Form ADV filed 27 February 2026SEC record

Services and clients

PFG Investments provides financial planning, portfolio management for individuals and small businesses, and portfolio management for institutions. Financial planning was provided to 101–250 clients last fiscal year.

PFG Investments reports 6,470 clients. They include 5,804 individual clients, 395 high-net-worth individuals, and 243 pension and profit-sharing plans. Of its assets, 91.7% ($1.94B across 5,912 accounts) are managed with discretion; $176M across 558 accounts are not. It advised 64 clients without assets under management last fiscal year.

Clients and assets by client type
Clients6,470 clients
Assets$2.11B
Share of clients and assets by client type
Client typeClientsAssets
Individuals (other than HNW)90%52%
High-net-worth individuals6%44%
Pension and profit-sharing plans4%3%
Charitable organizations<1%<1%
Corporations and other businesses<1%<1%
Client breakdown and activity details
Individuals (other than HNW)
Clients
5,804
Regulatory AUM
$1.09B
AUM share
51.6%
Avg. per client
$188K
High-net-worth individuals
Clients
395
Regulatory AUM
$939M
AUM share
44.5%
Avg. per client
$2.38M
Pension and profit-sharing plans
Clients
243
Regulatory AUM
$62.2M
AUM share
2.9%
Avg. per client
$256K
Charitable organizations
Clients
8
Regulatory AUM
$1.73M
AUM share
0.1%
Avg. per client
$217K
Corporations and other businesses
Clients
20
Regulatory AUM
$20M
AUM share
0.9%
Avg. per client
$998K

Total

Clients
6,470
Regulatory AUM
$2.11B
AUM share
100%
Avg. per client
$326K
Clients outside the U.S.
0%
Clients advised without assets under management last fiscal year
64
Private funds advised
0
Financial planning clients last fiscal year
101–250

PFG Investments fees and minimums

PFG Investments is paid through a percentage of assets under management, hourly charges and fixed fees (other than subscription fees); its fees and minimums are set out in its brochures on the SEC website.

Who owns PFG Investments

3dw Holdings LTD, D/B/A VFG Holdings owns 75% or more of PFG Investments and is in turn owned by VFG Employee Stock Ownership (401 K) Plan (75% or more). The leadership team of PFG Investments includes President Joseph Trifiletti, Chief Financial Officer Megan Plapp and Chief Compliance Officer Michelle Thomas. It has 161 employees, 144 of them in advisory roles.

Leadership

  • Joseph Trifiletti
    President
  • Megan Plapp
    Chief Financial Officer
  • Michelle Thomas
    Chief Compliance Officer
  • Daniel Antenor
    Chief Operations Officer
  • Stephen Distante
    CEO
  • Steven Howe
    Director of Business Development

Investment adviser representatives

166 representatives listed in the SEC register as of 9 October 2026.

  • Laura Ann Adams
  • William T Adamski JR.
  • Amos Akinyooye
  • Moshe Nison L Alpert
  • Brian Kenneth Altounian
  • Michael Amoroso
  • Daniel Antenor, JR
  • Michael Harry Applebaum
  • Christopher Andrew Arellano
  • James Arellano
  • Kenneth John Arellano
  • Ruth Arriaza

Staff

  • 161 employees
  • 144 in advisory functions
  • 144 state-registered reps
  • 131 broker-dealer reps
  • 130 insurance agents
Ownership chain
PFG Investments, LLC· the adviser

  • 3dw Holdings LTD, D/B/A VFG Holdings

    since December 2025

    Owns 75% or more of PFG Investments, LLC

    • VFG Employee Stock Ownership (401 K) Plan

      since December 2025

      Owns 75% or more of 3dw Holdings LTD, D/B/A VFG Holdings

  • 3dw Holdings LTD, D/B/A VFG

    since December 2025

    Owns 75% or more of PFG Investments, LLC

Growth and acquisitions

PFG Investments’ regulatory assets grew 2.9× from $737M (July 2021) to $2.11B (February 2026); clients rose from 3,354 to 6,470 and employees from 95 to 161.

By annual filing
Measure
Figures from each annual filing
PFG Investments figures from each annual Form ADV filing
FiledRegulatory AUMClientsEmployeesOffices
February 2026$2.11B6,47016144
July 2025$1.62B6,46613244
June 2024$1.1B5,06710726
August 2023$967M4,32910320
April 2022$1.04B4,4209320
July 2021$737M3,3549520

Offices and registration details

Besides its headquarters, PFG Investments has 43 offices (1 private residence, listed without an address), with 54 listed addresses across 23 states.

Listed office addresses by state

New York · 13 listed addresses

  • 125 Froehlich Farm BLVD., WoodburyHQ
  • 755 Jefferson RD., 2nd Floor, Suite 200, Rochester
  • 40-18 34th Avenue, Long Island City
  • 215 West Water St, Elmira
  • 500 N. Broadway, Suite 219, Jericho
  • 130 East 62nd Street, New York
  • One Old Country Road, Suite 335, Carle Place
  • 7067 E. Genesee Street, Fayetteville
  • 197 East Main Street, Patchogue
  • 56 Main St, Suite 1&2, Warwick
  • 125 Wolf Road, Suite 315, Albany
  • 3324 County Road 16, Canandaigua
  • 333 Jericho Tpke, Suite 119, Jericho

Other business names

PFG Investments has reported 54 other business names to the SEC.

  • 4kast Advisors LLC
  • Abundance Wealth Solutions
  • Afton Capital Management
  • American Centurion Financial
  • Ark Financial
  • Aston Consulting Group
  • Baker Wealth Management
  • Brin Financial
  • CJW Financial Services
  • Centered Wealth
  • Chamberlain Group
  • Chase Kelly
Show all 54 names
  • Common Interests
  • Core Value Investment Group
  • Curbelo Wealth Management Group LLC
  • Empowered Investments
  • Endeavor Financial Group
  • Evans Group Financial Advisors
  • Fava Wealth Management
  • Fortress Wealth Solutions, LLC
  • Gardiner Private Wealth Management
  • Greenvest
  • Gryphon Asset Management
  • Hansen'S Advisory Services
  • Harborwise Financial
  • Hirsch Associates
  • Iln Securities LLC
  • Infinite Investment Strategies LLC
  • J. Brower & Associates
  • Jack Chite & Associates
  • KT Wealth Management
  • Keystone Financial Edge Inc
  • Lunaria Financial
  • MMS Asset Management
  • Masterpiece Financial Group
  • Preferred Financial Group
  • Premac Wealth Management
  • Quality Financial Concepts
  • Rainbow Investment Solutions
  • Senior Wealth Management, Inc.
  • Sentigent Financial Solutions, LLC
  • Skye Harbor Financial
  • Squaw Island LLC.
  • Sterling Capitol LLC
  • Task Force Investments
  • Tavernier Wealth Management
  • The Retirement Optimization Group
  • Vanderbilt Financial Group Westport
  • Walsh Financial Solutions
  • Ward Financial
  • Wealth Management Strategies
  • Wealth Mark Advisory Services
  • Williams Capital Corporation
  • Worden Wealth Management

Contact and registration details

Legal name
PFG Investments, LLC
Headquarters
125 Froehlich Farm BLVD., Woodbury, NY 11797
Website
joinvanderbilt.com
Phone
631-845-5100
SEC file
801-77166
Structure
New York LLC
Fiscal year end
August

Custodians

PFG Investments does not have custody of client assets.

Investments and reported holdings

At year end, PFG Investments’ separately managed accounts were mostly in stocks (57%) and funds (27%). Its reported 13F holdings for the quarter ended 30 June 2026 total $2.58B across 1,295 positions; the largest are Apple Inc. (5.9%), Nvidia Corporation (3.6%) and Tesla Inc. (2.2%).

What the accounts hold

Separately managed account assets by class, year end
  • Stocks57%
    • Exchange-traded equities56%
    • Non-exchange-traded equities1%
  • Funds27%
  • Bonds6%
    • U.S. government and agency bonds3%
    • Investment grade corporate bonds2%
    • State and local bonds1%
  • Cash8%
  • Other2%
    • Derivatives2%

Reported 13F holdings

$2.58B
Reported 13F value
1,295
Positions
23.3%
In the 10 largest
+20.3%
Value vs. prior quarter
Ten largest positions, share of reported value
  1. Apple Inc.5.9%
  2. Nvidia Corporation3.6%
  3. Tesla Inc.2.2%
  4. Microsoft Corp.2.0%
  5. Amazon Com Inc.1.8%
  6. J P Morgan Exchange Traded F · Ultra Shrt ETF1.8%
  7. Select Sector SPDR TR · ST Str Techn ETF1.7%
  8. Advanced Micro Devices Inc.1.6%
  9. State Str SPDR S&P 500 ETF T · TR Unit1.4%
  10. Cornerstone Strategic Invest1.3%

Together, the ten largest are 23.3% of reported value.

The 50 largest positions and quarterly changesQuarter ended 30 June 2026 · filed 23 July 2026

Common questions

How many clients does PFG Investments have?

PFG Investments has 6,470 clients and manages $2.11 billion for them, as of February 2026. They include 5,804 individual clients, 395 high-net-worth individuals, and 243 pension and profit-sharing plans.

Source: Form ADV Part 1A, Items 5.D and 5.F, filed 27 February 2026

What services does PFG Investments offer?

PFG Investments provides financial planning, portfolio management for individuals and small businesses, and portfolio management for institutions.

Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file

How many financial advisors does PFG Investments have?

PFG Investments has 144 investment adviser representatives registered with state securities authorities, out of 161 employees, and 144 perform investment advisory functions. 131 employees are registered representatives of a broker-dealer and 130 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 PFG Investments invest in?

At the end of its last fiscal year, PFG Investments’ separately managed accounts held 56% exchange-traded equities, 27% registered funds (mutual funds, ETFs, BDCs), 8% cash and equivalents, 3% U.S. government and agency bonds, 2% investment grade corporate bonds, 2% derivatives, 1% non-exchange-traded equities 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

Who owns PFG Investments?

PFG Investments is owned through a holding company by VFG Employee Stock Ownership (401 K) Plan. Its direct owners are 3dw Holdings LTD, D/B/A VFG Holdings (75% or more) and 3dw Holdings LTD, D/B/A VFG (75% or more).

Source: Form ADV Part 1A, Schedules A and B, filed 27 February 2026

How does PFG Investments get paid?

PFG Investments 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

Is PFG Investments registered with the SEC?

Yes, PFG Investments has been registered with the SEC as an investment adviser since 23 October 2012. Its CRD number is 116537 and its SEC file number is 801-77166.

Source: Form ADV Part 1A, Item 1, filed 27 February 2026; IAPD firm record

How do I contact PFG Investments?

PFG Investments’ main office is at 125 Froehlich Farm BLVD., Woodbury, NY 11797. Its phone number is 631-845-5100. Its website is joinvanderbilt.com.

Source: Form ADV Part 1A, Item 1.F, filed 27 February 2026

Sources and methodology

  1. Form ADV Part 1A, amendment filed 27 February 2026. Items 1, 5, 9, 11 and Schedules A, B and D.
  2. DISCLOSURE BROCHURE, submitted 16 December 2025.
  3. IAPD firm record, CRD 116537.
  4. SEC registered adviser data, annual Form ADV amendments filed 7 July 2021 to 27 February 2026. Items 1.F and 5.
  5. SEC investment adviser representative register, as of 9 October 2026; loaded 10 October 2026.
  6. Form 13F-HR, filed 23 July 2026 for the quarter ended 30 June 2026.

Retrieved 15 October 2026. All are published by the SEC and may have been amended since. Disciplinary history is not yet shown here. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one.

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