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NWK GROUP
Legal name: NWK GROUP, INC.
CRD 124186File 801-61649
APPROVED
Retail clients
Custody
Filing as of Mar 23, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$485.3M
Above cohort median (national)
Discretionary AUM
$474.9M
Non-discretionary $10.4M
Clients
213
458 accounts
Employees
6
Below cohort median in CA
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- SFRO
- Registration date
- Dec 16, 2002
- Principal office
- 50 CALIFORNIA STREET, SUITE 1500, SAN FRANCISCO, CA, 94111
- Phone
- 415-248-2700
- Website
- HTTP://NWKGROUP.COM
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $485.3M
- Discretionary AUM
- $474.9M
- Non-discretionary AUM
- $10.4M
- Discretionary accounts
- 457
- Non-discretionary accounts
- 1
- Total accounts
- 458
- AUM per client
- $2.3M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | Fewer than 5 | $14.4M |
| Charitable organizations | Fewer than 5 | $30.9M |
| High net worth individuals | 105 | $392.2M |
| Pension and profit sharing plans | Fewer than 5 | $2.1M |
| Individuals (other than high net worth individuals) | 102 | $45.7M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Portfolio management for other
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- Yes
- Related Person Custody Cash
- Yes
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Clients | 207 | 213 | increased by6 |
| Apr 1, 2026 | AUM | $570,943,172 | $485,294,706 | decreased by$85,648,466 |
| Apr 1, 2026 | Accounts | 464 | 458 | decreased by6 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 7 | 6 | decreased by1 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 227 | 207 | decreased by20 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $512,901,108 | $570,943,172 | increased by$58,042,064 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 408 | 464 | increased by56 |
| Apr 1, 2022 | Clients | 160 | 227 | increased by67 |
| Apr 1, 2022 | AUM | $489,287,671 | $512,901,108 | increased by$23,613,437 |
| Apr 1, 2022 | Accounts | 391 | 408 | increased by17 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “NWK GROUP” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“NWK GROUP” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.