NORTHEAST FINANCIAL GROUP, INC.

Advisory Business

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

Employees

Total Number of Employees	9
Investment Advisory/Research	9
Registered Broker-Dealer Representatives	2
Registered State Investment Advisers	9
Licensed Agents of an Insurance Company	5
No. of Firms/People that Solicit Clients	3

RAUM

Provides Management of Securities Portfolios	Yes

Type	Accounts	RAUM
Discretionary	1,541	$538.5M
Non-Discretionary	98	$462.0M
Total	1,639	$1.0B

Clients

Type	Number	RAUM
Individuals	423	$135.2M
HNW Individuals	83	$192.2M
Banking or thrift institutions	0	$0
Investment companies	0	$0
Business development companies	0	$0
Pooled investment vehicles	3	$23.3M
Pension and profit sharing plans	117	$591.9M
Charitable organizations	<5	$1.5M
State or municipal gov entities	<5	$16.6M
Other investment advisers	<5	$17.3M
Insurance companies	0	$0
Sovereign wealth funds and foreign official institutions	0	$0
Corporations or other businesses	7	$11.6M
Other	63	$11.0M

Type	Number
No. of Non-RAUM Clients	0
No. of Non-U.S. Clients	0
No. of Financial Planning Clients	11-25

Services

Advisory Services	Financial planningPortfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)
Compensation	% of AUMHourly chargesFixed feesPerformance-based fees
Other Business Activities	Insurance broker or agent

Identifiers

SEC RIA File Number	801-78187
SEC ERA File Number	801-78187
SEC CIK Numbers	1965773
SEC CRD Numbers	122609
Legal Entity Identifier	None

Principal Office

3435 WINCHESTER ROAD
SUITE 102
ALLENTOWN
PA
United States

Websites

Chief Compliance Officer

No. Employees, Historic

RAUM, Historic

No. Clients, Historic