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NORTHEAST FINANCIAL GROUP, INC.
CRD 122609File 801-78187
APPROVED
Retail clients
Custody
Disclosure events
Filing as of Jul 28, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$1.44B
Above cohort median (national)
Discretionary AUM
$708.0M
Non-discretionary $734.8M
Clients
678
1,710 accounts
Employees
1
Above cohort median in PA
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- PLRO
- Registration date
- Jun 14, 2013
- Principal office
- 3435 WINCHESTER ROAD, SUITE 102, ALLENTOWN, PA, 18104
- Phone
- 570-688-9898
- Website
- HTTPS://WWW.NEFGINC.COM
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $1.44B
- Discretionary AUM
- $708.0M
- Non-discretionary AUM
- $734.8M
- Discretionary accounts
- 1,480
- Non-discretionary accounts
- 230
- Total accounts
- 1,710
- AUM per client
- $2.1M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 14 | $18.9M |
| Charitable organizations | 17 | $76.8M |
| Other investment advisers | Fewer than 5 | $121.1M |
| High net worth individuals | 160 | $383.6M |
| Pooled investment vehicles | 4 | $22.4M |
| Pension and profit sharing plans | 58 | $401.1M |
| State or municipal government entities | 31 | $266.5M |
| Individuals (other than high net worth individuals) | 393 | $148.6M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Hourly charges
- Performance-based fees
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Selection of other advisers
- Portfolio management for other
- Portfolio management for businesses
- Portfolio management for pooled investment vehicles
- 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
- Yes
Disclosure events
ADV Item 11- Q11C2
- Q11C4
- Q11C5
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Aug 17, 2026 | Clients | 739 | 678 | decreased by61 |
| Aug 1, 2026 | Disclosures | No | Yes | |
| Apr 1, 2026 | Employees | 10 | 1 | decreased by9 |
| Apr 1, 2026 | Clients | 687 | 739 | increased by52 |
| Apr 1, 2026 | AUM | $1,205,206,195 | $1,442,742,559 | increased by$237,536,364 |
| Apr 1, 2026 | Accounts | 1,368 | 1,710 | increased by342 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 12 | 10 | decreased by2 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 583 | 687 | increased by104 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $864,734,210 | $1,205,206,195 | increased by$340,471,985 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 1,370 | 1,368 | decreased by2 |
| Aug 1, 2022 | Clients | 579 | 583 | increased by4 |
| Aug 1, 2022 | AUM | $845,386,772 | $864,734,210 | increased by$19,347,438 |
| Aug 1, 2022 | Accounts | 1,366 | 1,370 | increased by4 |
| Apr 1, 2022 | Employees | 11 | 12 | increased by1 |
| Apr 1, 2022 | Clients | 568 | 579 | increased by11 |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “NORTHEAST FINANCIAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“NORTHEAST 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.