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Novem Group

CRD# 158964SEC# 801-72741Rochester, NYSEC-registered since 2011
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Disciplinary & conflicts check complete

See whether Novem Group reports any disciplinary history, how it's paid beyond your fee, and who owns it.

Form ADV reviewedBrochure and Form CRS on fileDisciplinary history: in the report
Money managed
$1.7B
85% with full discretion
Clients
3,653
5,571 accounts
Fee
% of assets
How it charges
Disciplinary history
Checked
Results in the full report
Compiled from Form ADV Parts 1 & 2, Schedules A & B and Form CRS · SEC data as of Oct 2, 2026

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One-time price, no account. Everything about Novem Group, explained in plain English.

What you'll find out
Has Novem Group been disciplined?Disciplinary history from its Form ADV, explained
Who owns it?Every owner of 5% or more, and the companies behind them
How does it get paid?Your fee in dollars, plus commissions, referral payments and other conflicts
How does it invest, and for whom?Strategy, clients and asset mix, from its brochure and Form ADV
Full firm report · $79.99Includes a private link to come back to it.
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What the brochure says

Strategy, fees, ownership and conflicts from the firm's own filings, in plain English.

AI summary
Read the firm's fine print

Strategy, fees, ownership and conflicts, explained.

See what's included

Who owns the company

Everyone who owns 5% or more, the companies behind them, and who controls day-to-day decisions.

See who owns the company

Every owner of 5% or more, the companies behind them, and who controls decisions.

See what's included
Form ADV Schedule A (direct owners) and Schedule B (indirect owners) · filed Sep 3, 2026The SEC reports ownership in ranges, not exact percentages.

Fees & what they'd cost you

How it charges: A percentage of assets under management; Hourly charges; Fixed fees.

See what this firm would cost you

Its fee schedule from the brochure, run on your own numbers.

See what's included
Form ADV Part 2A, Item 5 · filed Feb 27, 2026Form ADV Item 5.E · as of Oct 2, 2026

Clients & investments

Who the firm works with, what it invests in, and the services it offers.

See who they serve and what they invest in

Client types, asset mix and services from the firm's Form ADV.

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Conflicts of interest

Ways the firm can earn money beyond your fee, from its Form ADV answers.

2 flagged
See the 2 conflicts flagged

How the firm can earn money beyond your fee, and what to ask about each.

See what's included
SEC Form ADV data file · data as of Oct 2, 2026

Official documents

Read the originals on the SEC's website.

  • Full Form ADVParts 1 and 2, including the ownership schedulesOpen PDF ↗
  • Form CRSThe firm's two-page client relationship summaryOpen PDF ↗
  • Adv Part 2b - HerendeenForm ADV Part 2A brochure · filed Feb 27, 2026Open PDF ↗
  • Adv Part 2b - WilliamsForm ADV Part 2A brochure · filed Feb 27, 2026Open PDF ↗
  • Adv Part 2b - BartolottaForm ADV Part 2A brochure · filed Feb 27, 2026Open PDF ↗
  • Adv Part 2b - RacoForm ADV Part 2A brochure · filed Feb 27, 2026Open PDF ↗
  • Adv Part 2b - RoehrigForm ADV Part 2A brochure · filed Feb 27, 2026Open PDF ↗
  • Adv Part 2b - ManuelForm ADV Part 2A brochure · filed Feb 27, 2026Open PDF ↗
  • Adv Part 2b - EstevesForm ADV Part 2A brochure · filed Feb 27, 2026Open PDF ↗
  • Adv Part 2b - MorganForm ADV Part 2A brochure · filed Feb 27, 2026Open PDF ↗
  • Adv Part 2b - Ugone JamesForm ADV Part 2A brochure · filed Feb 27, 2026Open PDF ↗
  • Adv Part 2b - TowerForm ADV Part 2A brochure · filed Feb 27, 2026Open PDF ↗
  • Adv Part 2b - SimonettiForm ADV Part 2A brochure · filed Feb 27, 2026Open PDF ↗
  • Adv Part 2b - DealForm ADV Part 2A brochure · filed Feb 27, 2026Open PDF ↗
  • Adv Part 2b - BurkeForm ADV Part 2A brochure · filed Feb 27, 2026Open PDF ↗
  • Adv Part 2b - PalumbosForm ADV Part 2A brochure · filed Feb 27, 2026Open PDF ↗
  • Adv Part 2b - GerlachForm ADV Part 2A brochure · filed Feb 27, 2026Open PDF ↗
  • Adv Part 2b - LearForm ADV Part 2A brochure · filed Feb 27, 2026Open PDF ↗
  • Adv Part 2b - GentileForm ADV Part 2A brochure · filed Feb 27, 2026Open PDF ↗
  • Adv Part 2b - SpringerForm ADV Part 2A brochure · filed Feb 27, 2026Open PDF ↗
  • Adv Part 2b - AltieriForm ADV Part 2A brochure · filed Feb 27, 2026Open PDF ↗
  • Adv Part 2b - FroehlichForm ADV Part 2A brochure · filed Feb 27, 2026Open PDF ↗
  • Adv Part 2b - GattiForm ADV Part 2A brochure · filed Feb 27, 2026Open PDF ↗
  • Adv Part 2b - GiancursioForm ADV Part 2A brochure · filed Feb 27, 2026Open PDF ↗
  • Adv Part 2b - AlbrechtForm ADV Part 2A brochure · filed Feb 27, 2026Open PDF ↗
  • Adv Part 2b - ReinertsonForm ADV Part 2A brochure · filed Feb 27, 2026Open PDF ↗
  • Adv Part 2b - TaylorForm ADV Part 2A brochure · filed Feb 27, 2026Open PDF ↗
  • Adv Part 2b - Ugone GavinForm ADV Part 2A brochure · filed Feb 27, 2026Open PDF ↗
  • Adv Part 2b - MurrayForm ADV Part 2A brochure · filed Feb 27, 2026Open PDF ↗
  • Adv Part 2b - McphersonForm ADV Part 2A brochure · filed Feb 27, 2026Open PDF ↗
  • Adv Part 2b - RogalaForm ADV Part 2A brochure · filed Feb 27, 2026Open PDF ↗
  • Adv Part 2b - GueliForm ADV Part 2A brochure · filed Feb 27, 2026Open PDF ↗
  • Adv Part 2b - KoskoForm ADV Part 2A brochure · filed Feb 27, 2026Open PDF ↗
  • Adv Part 2b - SpilfogelForm ADV Part 2A brochure · filed Feb 27, 2026Open PDF ↗
  • Adv Part 2aForm ADV Part 2A brochure · filed Feb 27, 2026Open PDF ↗
  • SEC IAPD firm pageRegistrations, notice filings and historyOpen ↗
Firm record pulled Oct 25, 2026, 4:58 PM EDT · IAPD data compiled Sep 4, 2026

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Summaries are written by AI from the firm's official filings and may contain errors; each section links to its source. This page is for information only and is not investment advice or an endorsement or rating of the firm.