NEXT FINANCIAL GROUP, INC.
Latest filing: Jul 15, 2025 (153 days ago)
AUM
$3,769,456,133
7% change vs. 1 year ago
21% change vs. 3 years ago
59% change vs. 5 years ago
116% change vs. 10 years ago
Employee Count
564
-8% change vs. 1 year ago
1% change vs. 3 years ago
33% change vs. 5 years ago
-18% change vs. 10 years ago
Main Office
HOUSTON, TX
11740 KATY FREEWAY, HOUSTON, TX, UNITED STATES, 77079
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $3.7 |
| Non-Discretionary | $0.0 |
| Total | $3.8 |
| Client | AUM |
|---|---|
| Retail | $3.6 |
| Pooled | $0.0 |
| Institutional | $0.2 |
| Total | $3.8 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 10,815 | $2.4 |
| Average Individual AUM | $222,285 | |
| HNW | 584 | $1.2 |
| Average HNW AUM | $2,009,273 | |
| Retail Total | 11,399 | $3.6 |
| Average Retail AUM | $313,837 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
SMA Custodians
| Custodian | Location | AUM |
|---|---|---|
| PERSHING LLC | JERSEY CITY-NJ-USA | $2.8 |
| CHARLES SCHWAB & CO., INC. | WESTLAKE VILLAGE-TX-USA | $0.7 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $3.8 |
| Retail SMA AUM | $3.6 |
| Institutional SMA AUM | $0.2 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 19% | $0.7 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 0% | $0.0 |
| Municipal | 1% | $0.0 |
| Sovereign | 0% | $0.0 |
| IG Credit | 0% | $0.0 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 75% | $2.8 |
| Other Pools | 0% | $0.0 |
| Cash | 4% | $0.2 |
| Other | 1% | $0.0 |
| Total | 100% | $3.8 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
Affiliates
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| CADARET, GRANT & CO., INC. | $7.7 | broker-dealer | 10641 |
| CUSO FINANCIAL SERVICES, L.P. | $5.4 | broker-dealer | 42132 |
| WESTERN INTERNATIONAL SECURITIES, INC. | $3.5 | broker-dealer | 39262 |
| GROVE POINT ADVISORS, LLC | $2.5 | 313171 | |
| SCF INVESTMENT ADVISORS, INC. | $1.3 | 123608 | |
| SORRENTO PACIFIC FINANCIAL, LLC | $0.2 | broker-dealer | 127787 |
| SCF SECURITIES, INC. | $0.0 | broker-dealer | 47275 |
| NEXT FINANCIAL INSURANCE SERVICES COMPANY | $0.0 | - | |
| CFS INSURANCE & TECHNOLOGY SERVICES, LLC | $0.0 | - | |
| GROVE POINT INVESTMENTS, LLC | $0.0 | broker-dealer | 1763 |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Control Persons
16 active
| Name | Title |
|---|---|
| KNIGHT, BARRY GLENN | PRESIDENT/DIRECTOR |
| KETTERER, DOUGLAS JOHN | DIRECTOR |
| ELIAS JR, EUGENE HENRI | DIRECTOR |
| TYMKIW, TRISHA LYNN | PRINCIPAL FINANCIAL OFFICER |
| ALBINO, JASON | CHIEF COMPLIANCE OFFICER |
| WHITE, LAURA NICOLE | ADVISORY CHIEF COMPLIANCE OFFICER |
ADVDB.CO • SOURCE: SEC
Representatives
350 active representatives found, showing 20 random
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| DOUGLAS WHITE | HOUSTON | TX | S66|2015-06-12|S65|2019-01-22 | ||||||
| JENNIFER RADFORD | HOUSTON | TX | S63|1997-09-16|S65|2003-04-05 | ||||||
| THOMAS STEPHENS | HOUSTON | TX | S66|2011-10-17 | ||||||
| KIM FOGLE | HOUSTON | TX | S63|2000-04-11|S66|2022-11-21 | ||||||
| BRIAN SIMANSKI | HOUSTON | TX | S63|2015-06-30|S65|2016-12-15 | ||||||
| BILLUPS JOHNSON | HOUSTON | TX | S63|1987-01-09|S65|2003-12-05 | ||||||
| JEREMYI SANCHEZ | HOUSTON | TX | S63|2008-07-02|S65|2014-02-03 | CERTIFIED FINANCIAL PLANNER | |||||
| JOSHUA ROCHE | HOUSTON | TX | S63|2007-03-20|S65|2009-01-22 | ||||||
| ROBERT SCHMOCKER | HOUSTON | TX | S63|2000-11-06|S65|2023-02-23 | ||||||
| JOSEPH STORK | HOUSTON | TX | S63|2011-04-18|S65|2011-06-01 | ||||||
| GREGORY IRWIN | HOUSTON | TX | S63|1992-03-13 | CERTIFIED FINANCIAL PLANNER | |||||
| LEE FRAMER | HOUSTON | TX | S65|2014-06-06|S63|2020-07-29 | ||||||
| BOBBY PALMER | HOUSTON | TX | S63|2004-03-09|S66|2007-02-05 | ||||||
| STEPHANIE BAILEY | HOUSTON | TX | S66|2001-05-31 | ||||||
| DAVID FUNG | HOUSTON | TX | S66|2023-06-21 | ||||||
| JULIE MARTINEZ | HOUSTON | TX | S66|2005-12-20 | ||||||
| WANDA AMOS | HOUSTON | TX | S63|1993-04-20|S65|1993-02-23|S66|2007-12-23 | ||||||
| JAMES MCALEESE | HOUSTON | TX | S63|1997-10-27 | CERTIFIED FINANCIAL PLANNER | |||||
| STEPHEN SEPLOWE | HOUSTON | TX | S63|1998-12-04|S65|2013-12-23 | ||||||
| SHAWN TORRES | HOUSTON | TX | S63|2004-07-12|S65|2013-12-17 | ||||||
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-08-01 | $3.8 | $0.0 | 0% | 564 | 0 | 0% |
| 2025-04-21 | $3.8 | $0.0 | 0% | 564 | 0 | 0% |
| 2024-04-02 | $3.5 | $0.2 | 7% | 613 | -49 | -8% |
| 2023-04-04 | $2.9 | $0.9 | 29% | 587 | -23 | -4% |
| 2022-04-01 | $3.1 | $0.7 | 21% | 556 | 8 | 1% |
| 2021-04-05 | $2.6 | $1.2 | 44% | 413 | 151 | 37% |
| 2020-04-01 | $2.4 | $1.4 | 59% | 423 | 141 | 33% |
| 2019-04-01 | $1.7 | $2.1 | 128% | 457 | 107 | 23% |
| 2018-04-02 | $1.7 | $2.1 | 126% | 495 | 69 | 14% |
| 2017-04-01 | $1.6 | $2.1 | 128% | 586 | -22 | -4% |
| 2016-04-01 | $1.6 | $2.2 | 141% | 603 | -39 | -6% |
| 2015-04-01 | $1.7 | $2.0 | 116% | 685 | -121 | -18% |
| 2014-04-01 | $1.7 | $2.1 | 122% | 790 | -226 | -29% |
| 2013-04-01 | $1.3 | $2.5 | 186% | 713 | -149 | -21% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| TX, AK-05/16/2000, AL-05/15/2000, AR-05/16/2000, AZ-05/18/2000, CA-06/09/1999, CO-12/29/2000, CT-05/25/2000, DC-07/05/2000, DE-04/03/2003, FL-06/22/1999, GA-03/29/2001, HI-06/13/2000, IA-05/22/2000, ID-06/06/2000, IL-11/20/2000, IN-03/01/2000, KS-06/05/2000, KY-06/05/2000, LA-10/12/2001, MA-10/10/2000, MD-02/28/2000, ME-02/16/2001, MI-02/23/2000, MN-02/24/2000, MO-06/08/2000, MS-06/08/2000, MT-05/22/2000, NC-03/21/2001, ND-03/01/2004, NE-06/05/2000, NH-06/09/2000, NJ-06/29/2000, NM-06/14/2000, NV-06/06/2000, NY-02/23/2000, OH-07/14/2000, OK-09/05/2000, OR-05/24/2012, PA-01/23/2007, PR-03/28/2024, RI-06/12/2000, SC-05/22/2000, SD-06/14/2000, TN-06/23/1999, TX-08/17/1999, UT-06/13/2000, VA-03/08/2000, VI-03/28/2024, VT-07/13/1999, WA-04/17/2000, WI-03/08/2001, WV-06/08/2000, WY-04/23/2019 |
| ADVISER ACTIVITIES |
|
FINANCIAL PLANNING PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (SMB) PENSION CONSULTING MANAGER SELECTION EDUCATIONAL WORKSHOPS |
| OTHER ACTIVITIES |
|
BROKER DEALER INSURANCE AGENT |
ADVDB.CO • SOURCE: SEC FORM ADV