NORTHEAST FINANCIAL GROUP, INC.
Latest filing: Mar 26, 2025 (118 days ago)
AUM
$1,205,206,195
20% change vs. 1 year ago
43% change vs. 3 years ago
102% change vs. 5 years ago
271% change vs. 10 years ago
Employee Count
10
11% change vs. 1 year ago
-17% change vs. 3 years ago
-9% change vs. 5 years ago
11% change vs. 10 years ago
Main Office
ALLENTOWN, PA
3435 WINCHESTER ROAD, ALLENTOWN, PA, UNITED STATES, 18104
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $0.6 |
| Non-Discretionary | $0.6 |
| Total | $1.2 |
| Client | AUM |
|---|---|
| Retail | $0.4 |
| Pooled | $0.0 |
| Institutional | $0.8 |
| Total | $1.2 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 418 | $0.1 |
| Average Individual AUM | $325,403 | |
| HNW | 109 | $0.3 |
| Average HNW AUM | $2,691,596 | |
| Retail Total | 527 | $0.4 |
| Average Retail AUM | $814,805 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
SMA Custodians
| Custodian | Location | AUM |
|---|---|---|
| CHARLES SCHWAB & CO., INC. | SAN FRANCISCO-CA-USA | $0.6 |
| MATRIX TRUST COMPANY | DENVER-CO-USA | $0.3 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $1.2 |
| Retail SMA AUM | $0.4 |
| Institutional SMA AUM | $0.8 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 4% | $0.0 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 2% | $0.0 |
| Municipal | 1% | $0.0 |
| Sovereign | 0% | $0.0 |
| IG Credit | 2% | $0.0 |
| HY Credit | 0% | $0.0 |
| Derivatives | 2% | $0.0 |
| Investment Companies | 84% | $1.0 |
| Other Pools | 2% | $0.0 |
| Cash | 2% | $0.0 |
| Other | 1% | $0.0 |
| Total | 100% | $1.2 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
Affiliates
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| NEFG CAPITAL PARTNERS, LLC | $0.0 | - | |
| HERBEIN FINANCIAL GROUP, LLC | $0.0 | 322194 |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Control Persons
Representatives
9 active representatives found
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| RONALD BERGER | ALLENTOWN | PA | S63|1983-11-18|S65|1999-09-10 | CHARTERED FINANCIAL CONSULTANT | |||||
| PETER PAPE | ALLENTOWN | PA | S63|2017-09-05|S66|2018-04-20 | ||||||
| JONATHAN KLINE | ALLENTOWN | PA | S63|2010-04-05|S65|2022-06-13 | ||||||
| JOSH LAYCHOCK | ALLENTOWN | PA | S66|2001-09-27 | ||||||
| THOMAS SYLVESTER | ALLENTOWN | PA | S65|2023-05-03 | ||||||
| ROBERT HACKENBERG | ALLENTOWN | PA | S63|1984-03-27|S65|1996-06-13 | ||||||
| MARK HULLINGER | ALLENTOWN | PA | S63|1997-08-27|S66|2001-07-05|S65|2014-02-26 | ||||||
| ALEXANDER LIPPITT | ALLENTOWN | PA | CHARTERED FINANCIAL ANALYST | ||||||
| CAMERONE GIANCATERINO | ALLENTOWN | PA | S65|2023-06-21 | ||||||
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-06-02 | $1.2 | $0.0 | 0% | 10 | 0 | 0% |
| 2025-04-21 | $1.2 | $0.0 | 0% | 10 | 0 | 0% |
| 2024-04-02 | $1.0 | $0.2 | 20% | 9 | 1 | 11% |
| 2023-04-04 | $0.8 | $0.4 | 55% | 7 | 3 | 43% |
| 2022-04-01 | $0.8 | $0.4 | 43% | 12 | -2 | -17% |
| 2021-04-05 | $0.7 | $0.5 | 73% | 11 | -1 | -9% |
| 2020-04-01 | $0.6 | $0.6 | 102% | 11 | -1 | -9% |
| 2019-04-01 | $0.5 | $0.7 | 139% | 11 | -1 | -9% |
| 2018-04-02 | $0.5 | $0.8 | 165% | 6 | 4 | 67% |
| 2017-04-01 | $0.3 | $0.9 | 245% | 5 | 5 | 100% |
| 2016-04-01 | $0.3 | $0.9 | 271% | 9 | 1 | 11% |
| 2015-04-01 | $0.3 | $0.9 | 271% | 9 | 1 | 11% |
| 2014-04-01 | $0.3 | $1.0 | 378% | 9 | 1 | 11% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| PA, CA-12/12/2024, DE-03/13/2023, FL-12/12/2024, IL-08/17/2022, NC-12/12/2024, NH-12/12/2024, NJ-06/26/2013, NY-06/14/2013, PA-06/14/2013, SC-12/12/2024, TX-02/21/2024 |
| ADVISER ACTIVITIES |
|
FINANCIAL PLANNING PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (POOLS) PORTFOLIO MANAGEMENT (SMB) PENSION CONSULTING MANAGER SELECTION |
| OTHER ACTIVITIES |
|
INSURANCE AGENT |
ADVDB.CO • SOURCE: SEC FORM ADV