HERRINGTON FINANCIAL SERVICES, INC.

Advisory Business

Type of Organization	Corporation
Fiscal Year End	DECEMBER
Legal Location	Georgia, United States

Employees

Total Number of Employees	1
Investment Advisory/Research	1
Registered Broker-Dealer Representatives	0
Registered State Investment Advisers	1
Licensed Agents of an Insurance Company	1
No. of Firms/People that Solicit Clients	0

RAUM

Provides Management of Securities Portfolios	Yes

Type	Accounts	RAUM
Discretionary	39	$1.5M
Non-Discretionary	0	$0
Total	39	$1.5M

Clients

Type	Number	RAUM
Individuals	39	$1.5M
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	26-50

Services

Advisory Services	Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)Educational seminars/workshops
Compensation	% of AUMFixed fees
Other Business Activities	Insurance broker or agent

Identifiers

SEC RIA File Number	801-129607
SEC ERA File Number	801-129607
SEC CIK Numbers	None
SEC CRD Numbers	167733
Legal Entity Identifier	None

Principal Office

2506 PEACH ORCHARD RD.
AUGUSTA
GA
United States

Websites

Chief Compliance Officer

No. Employees, Historic

RAUM, Historic

No. Clients, Historic