Next GEN Advisors, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Next GEN Advisors, LLC primarily advises high‑net‑worth individuals and similar entities (trusts, small businesses, pension/profit‑sharing plans) and delivers asset management, financial planning, and consulting services through separately managed accounts, proprietary and third‑party model programs, and solicitor or co‑advisory arrangements. Services are offered on both discretionary and non‑discretionary bases, and client allocations are guided by a Client Passport questionnaire and periodic reviews.
The firm’s investment process combines fundamental and technical methods (including charting) and uses analytical and optimization tools to construct advisor‑specific portfolios and evaluate sub‑managers. NGA’s brochure also discloses the use of market timing techniques and the potential use of derivatives in separately managed accounts for hedging and other purposes, with related risks described in its disclosures.
What distinguishes NGA from many peers is its affiliation and ownership structure: it is a subsidiary of Cathay Securities, Inc., a FINRA‑member, SEC‑registered broker‑dealer, and its IARs may be dually registered, which permits commissionable brokerage and insurance activity in addition to advisory services. The firm also discloses procedures for allocating IPO interests when its affiliated broker‑dealer participates in underwriting — a practice and a level of broker‑dealer affiliation that are uncommon among supported firms.
Client services
Expertise
Fee options
Flat fees for one-time consulting or planning services, negotiable; fixed fees range from $100 to $1200
$0 - $1,000,000: 0.20% - 2.50% $1,000,000 - $3,000,000: 0.15% - 2.50% $5,000,000+: 0.10% - 2.50%
Some IARs dually registered and may receive commissions from broker/dealer or insurance product sales; NGA does not share in commissions
Hourly consulting fees range from $100 to $500 per hour
Minimum fee: Minimum annual account fee of $100 Fee-only: Asset management fees negotiable up to 2.50% annually; hourly consulting fees $100 to $500 per hour; fixed fees from $100 to $1200; flat fees and retainers also available
Main office
40 Wall Street
New York NY 10005
Advisors at this office
2
Most active in
New York
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
Advisors at this firm
Mark Z
Series 63, Series 66
New York, NY
Next GEN Advisors, LLC
Mark Zagotti is a financial advisor with Next GEN Advisors, LLC, holding Series 63 and Series 66 credentials and bringing 31 years of industry experience. His career includes roles at Equitable Advisors, AXA Advisors, Cathay Securities, Inc., and currently at Remsenburg Securities, LLC and Blue Diamond Securities of America LLC. Outside of his advisory work, he owns Z Force, LLC, which provides compliance consulting services. Next GEN Advisors primarily serves high-net-worth individuals and related entities, offering asset management, financial planning, and consulting services through various account structures. The firm combines fundamental and technical investment methods and is distinguished by its affiliation with Cathay Securities, a registered broker-dealer that allows for dual registration of its advisors.
Xiaoyu L
Series 63, Series 65
New York, NY
Next GEN Advisors, LLC
Xiaoyu Li is a financial advisor at Next GEN Advisors, LLC with four years of industry experience. Prior to joining Next GEN Advisors, Li worked at Meiwu Technology Company Limited and Superior Trading Ltd. He holds Series 63 and Series 65 licenses. Li is also involved with Cathay Securities Inc., a FINRA-member broker-dealer affiliated with his firm. Next GEN Advisors primarily serves high-net-worth individuals, trusts, small businesses, and pension or profit-sharing plans by providing asset management, financial planning, and consulting services. The firm uses a combination of fundamental and technical investment methods and is notable for its affiliation with Cathay Securities, which allows its advisors to offer both advisory services and commissionable brokerage.
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