Asset manager · Allentown, PA
Northeast Financial Group, Inc.
SEC-registered investment adviser · CRD 122609 · SEC 801-78187
At a glance
Northeast Financial Group, Inc. is an SEC-registered investment adviser based in Allentown, Pennsylvania, with $1.4 billion in regulatory assets under management as of its Form ADV filed July 28, 2026. Its largest client group by assets is pension and profit sharing plans, and it reports 553 individual clients. By Form ADV it is a asset manager, ranked 1,189th of 3,218 asset managers and 4,364th of 17,210 SEC-registered advisers by assets.
Main office 570-688-9898nefginc.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $1.4B
- Rank among asset managers
- #1,189 of 3,218
- Rank among all SEC RIAs
- #4,364 of 17,210
- Rank in Pennsylvania
- #161 of 564
- Individual clients
- 553
- High-net-worth clients
- 160
- Accounts
- 1,710
- Discretionary
- 49% of AUM
- Employees
- 1
- Advisory staff
- 1
- Offices
- 3
Owners and executives on its Form ADV
- Robert L. HackenbergChief Compliance Officer
- Josh R. LaychockPresident
Custody and brokerage
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Pension and profit sharing plans | 58 | $401M | 28% |
| High-net-worth individuals | 160 | $384M | 27% |
| State or municipal government entities | 31 | $266M | 18% |
| Individuals | 393 | $149M | 10% |
| Other investment advisers | 1 | $121M | 8% |
| Charitable organizations | 17 | $77M | 5% |
| Pooled investment vehicles | 4 | $22M | 2% |
| Corporations or other businesses | 14 | $19M | 1% |
| Other | 61 | $4M | <1% |
Private funds
Northeast Financial Group, Inc. reports 4 private funds with $22M in gross assets: real estate funds, securitized asset funds, other private funds (Form ADV Item 7.B).
Disciplinary disclosures
Northeast Financial Group, Inc. answers yes to 3 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses and institutions
- Pension consulting
- Selecting other advisers
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
- Performance-based fees
Form ADV and brochures on the SEC’s adviser search ↗nefginc.com ↗
AtlasMembers
The full record on Northeast Financial Group, Inc.
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 962 peers of its type and size
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- Owners and executives, with titles and stakes
- 2 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Background
Questions
How much does Northeast Financial Group, Inc. manage?
Northeast Financial Group, Inc. reports $1.4 billion in regulatory assets under management across 1,710 accounts, 49% of it on a discretionary basis, on its Form ADV filed July 28, 2026.
What kind of firm is Northeast Financial Group, Inc.?
Northeast Financial Group, Inc. is a asset manager by its Form ADV answers. Most of its assets are managed for funds, institutions or other businesses rather than individuals.
Who are Northeast Financial Group, Inc.’s clients?
By assets, its largest client types are pension and profit sharing plans ($401 million, 58 clients); high-net-worth individuals ($384 million, 160 clients); state or municipal government entities ($266 million, 31 clients).
Does Northeast Financial Group, Inc. manage private funds?
Yes. It reports 4 private funds with $22 million in gross assets, including real estate funds, securitized asset funds, other private funds.
Does Northeast Financial Group, Inc. have any disciplinary history?
Northeast Financial Group, Inc. answers yes to 3 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Northeast Financial Group, Inc.’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-07-28), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →