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CGC FINANCIAL SERVICES
Legal name: CGC FINANCIAL SERVICES, LLC
CRD 155446File 801-78845
APPROVED
Retail clients
Custody
Filing as of Aug 20, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$875.8M
Above cohort median (national)
Discretionary AUM
$856.1M
Non-discretionary $19.7M
Clients
1,151
3,103 accounts
Employees
13
Top 25% of cohort in OR
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- SFRO
- Registration date
- Nov 22, 2013
- Principal office
- 5 CENTERPOINTE DR SUITE 550, LAKE OSWEGO, OR, 97035
- Phone
- 503-670-1958
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $875.8M
- Discretionary AUM
- $856.1M
- Non-discretionary AUM
- $19.7M
- Discretionary accounts
- 3,079
- Non-discretionary accounts
- 24
- Total accounts
- 3,103
- AUM per client
- $761K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | Fewer than 5 | $899K |
| Charitable organizations | 7 | $25.6M |
| High net worth individuals | 208 | $461.2M |
| Pension and profit sharing plans | Fewer than 5 | $638 |
| Individuals (other than high net worth individuals) | 932 | $388.2M |
Compensation & activities
ADV Items 5E, 5GCompensation
- A percentage of assets under your management
Advisory activities
- Financial planning services
- 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
- No
- 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 | Employees | 12 | 13 | increased by1 |
| Apr 1, 2026 | Clients | 1,145 | 1,151 | increased by6 |
| Apr 1, 2026 | AUM | $737,318,031 | $875,784,975 | increased by$138,466,944 |
| Apr 1, 2026 | Accounts | 3,027 | 3,103 | increased by76 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 13 | 12 | decreased by1 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 1,068 | 1,145 | increased by77 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $676,511,557 | $737,318,031 | increased by$60,806,474 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 2,748 | 3,027 | increased by279 |
| Apr 1, 2022 | Clients | 948 | 1,068 | increased by120 |
| Apr 1, 2022 | AUM | $584,321,596 | $676,511,557 | increased by$92,189,961 |
| Apr 1, 2022 | Accounts | 2,605 | 2,748 | increased by143 |
| Dec 1, 2021 | Employees | 12 | 13 | increased by1 |
| 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 “CGC FINANCIAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“CGC FINANCIAL” 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.