HERR INVESTMENT GROUP LLC

Advisory Business

Type of Organization	Limited Liability Company
Fiscal Year End	DECEMBER
Legal Location	Delaware, United States

Employees

Total Number of Employees	5
Investment Advisory/Research	4
Registered Broker-Dealer Representatives	0
Registered State Investment Advisers	3
Licensed Agents of an Insurance Company	0
No. of Firms/People that Solicit Clients	0

RAUM

Provides Management of Securities Portfolios	Yes

Type	Accounts	RAUM
Discretionary	174	$747.6M
Non-Discretionary	0	$0
Total	174	$747.6M

Clients

Type	Number	RAUM
Individuals	28	$5.5M
HNW Individuals	131	$454.6M
Banking or thrift institutions	0	$0
Investment companies	0	$0
Business development companies	0	$0
Pooled investment vehicles	1	$182.1M
Pension and profit sharing plans	<5	$14.7M
Charitable organizations	<5	$159,227
State or municipal gov entities	0	$0
Other investment advisers	0	$0
Insurance companies	0	$0
Sovereign wealth funds and foreign official institutions	0	$0
Corporations or other businesses	10	$90.5M
Other	0	$0

Type	Number
No. of Non-RAUM Clients	0
No. of Non-U.S. Clients	1
No. of Financial Planning Clients	0

Services

Advisory Services	Portfolio management for individuals and/or small businessesPortfolio management for pooled investment vehicles
Compensation	% of AUMPerformance-based fees
Other Business Activities	Commodity pool operator or commodity trading advisor

Identifiers

SEC RIA File Number	801-123100
SEC ERA File Number	801-123100
SEC CIK Numbers	1922235
SEC CRD Numbers	315227
Legal Entity Identifier	None

Principal Office

44 PASCAL LANE
AUSTIN
TX
United States

Websites

Chief Compliance Officer

No. Employees, Historic

RAUM, Historic

No. Clients, Historic