HERBEIN FINANCIAL GROUP, LLC
Adviser information for HERBEIN FINANCIAL GROUP, LLC last updated from Form ADV on March 26th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Pennsylvania, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 1 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 2 |
RAUM
| Provides Management of Securities Portfolios | No |
|---|
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| 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 | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPROVIDING SERVICES ALONG WITH RELATED FIRM |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Insurance broker or agent |
Identifiers
| SEC RIA File Number | 801-126422 |
|---|---|
| SEC ERA File Number | 801-126422 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 322194 |
| Legal Entity Identifier | None |
Principal Office
3435 WINCHESTER ROADSUITE 102
ALLENTOWN
PA
United States
Monday - Friday, 9:00AM-5:00PM
Tel: 484-509-1136, Fax: None
Chief Compliance Officer
JOSH R. LAYCHOCK
3435 WINCHESTER ROAD
SUITE 102
ALLENTOWN
PA
United States
Tel:
570-688-9898
J*********@*******************M
(Full email address available in API data)
Industry Affiliates
| HERBEIN + COMPANY, INC. | Accountant or accounting firm |
| NEFG CAPITAL PARTNERS, LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| NORTHEAST FINANCIAL GROUP, INC. | Other investment adviser, including financial plannersInsurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| HERBEIN + COMPANY, INC. | Domestic Entity | – | MEMBER | 05/2022 | 50-75% |
| NORTHEAST FINANCIAL GROUP, INC. | Domestic Entity | – | MEMBER | 05/2022 | 25-50% |
| LAYCHOCK, JOSH, ROBERT | Individual | – | CHIEF COMPLIANCE OFFICER | 05/2022 | < 5% |
| LAYCHOCK, JOSH, ROBERT | Individual | NORTHEAST FINANCIAL GROUP, INC. | PRESIDENT | 12/2010 | 50-75% |