Next GEN Advisors, LLC

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.