AdvisorCensus / Financial advisors / Maryland / Baltimore / Hergenroeder Financial Advisors, Inc.
Hergenroeder Financial Advisors, Inc.
Filed as HERGENROEDER FINANCIAL ADVISORS, INC.
Hergenroeder Financial Advisors, Inc. is an SEC-registered investment advisory firm in Timonium, MD, registered since 2015, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated February 4, 2026.
Quick answers
From the filingHow is Hergenroeder Financial Advisors, Inc. compensated?
On its Form ADV (Item 5.E, October 2026), Hergenroeder Financial Advisors, Inc. reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees).
What does Hergenroeder Financial Advisors, Inc.'s brochure say about its fees?
Its Form ADV Part 2A brochure dated February 4, 2026 states: Up to $500,000: 1.6% a year; $500,000 to $750,000: 1.4% a year; $750,001 to $1,000,000: 1.3% a year; $1,000,001 to $2,500,000: 1.2% a year; $2,500,001 to $5,000,000: 1% a year; Above $5,000,000: see the brochure. Fees can differ by service and may be negotiable; the brochure is the complete statement.
Where is Hergenroeder Financial Advisors, Inc. located?
Hergenroeder Financial Advisors, Inc.'s principal office is in Timonium, MD, according to its Form ADV.
Is Hergenroeder Financial Advisors, Inc. registered with the SEC or a state?
Hergenroeder Financial Advisors, Inc. is an SEC-registered investment advisory firm, registered since 2015. Status as filed: Approved. CRD 121278.
How much does Hergenroeder Financial Advisors, Inc. manage?
Hergenroeder Financial Advisors, Inc. reports $304,505,678 in regulatory assets under management in its Form ADV filing dated February 4, 2026 (100% discretionary).
How have Hergenroeder Financial Advisors, Inc.'s assets and staff changed since 2021?
In the Form ADV data for Hergenroeder Financial Advisors, Inc.: Regulatory assets under management: $226,201,031 in the October 2021 data and $304,505,678 in the October 2026 data, up 35%. Total employees: 6 in October 2021 and 6 in October 2026. Assets under management move with markets as well as with clients coming and going.
What types of clients does Hergenroeder Financial Advisors, Inc. serve?
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (323); high net worth individuals (98).
Which custodians does Hergenroeder Financial Advisors, Inc. use?
Hergenroeder Financial Advisors, Inc.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists LPL Financial LLC as a custodian holding 10% or more of its separately managed account assets.
Does Hergenroeder Financial Advisors, Inc. report any disciplinary disclosures?
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/121278
What changed in Hergenroeder Financial Advisors, Inc.'s recent Form ADV filings?
In the March 2026 filing data: Employees performing advisory functions went from 4 to 3.
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Fees and minimums
Form ADV Part 2A| Assets | Annual rate |
|---|---|
| Up to $500,000 | 1.6% |
| $500,000 to $750,000 | 1.4% |
| $750,001 to $1,000,000 | 1.3% |
| $1,000,001 to $2,500,000 | 1.2% |
| $2,500,001 to $5,000,000 | 1% |
| Above $5,000,000 | See the brochure |
The brochure's wording
Market Value of Portfolio Annual Fee % Up to $500,000 1.60% Between $500,000 and $750,000 1.40% Between $750,001 and $1,000,000 1.30% Between $1,000,001 and $2,500,000 1.20% Between $2,500,001 and $5,000,000 1.00%
As stated in the firm's Form ADV Part 2A brochure dated February 4, 2026. Fees can differ by service and may be negotiable; the brochure is the complete statement. Read the brochure on the SEC's IAPD site
Regulatory assets under management
Item 5.F$304,505,678 as of October 2026, filing dated February 4, 2026.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
Registration and firm details
Items 1, 2, 5- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 2015 (11 years)
- Employees
- Total: 6. Performing investment advisory functions: 3.
- Wrap fee program participation
- No.
- Custodians (Schedule D, Section 5.K(3))
-
Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.
- States registered or notice-filed
-
13 states or jurisdictions
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Assets and staff over time
Items 5.A, 5.F| Data period | Assets under management | Employees | Filing dated |
|---|---|---|---|
| October 2026 | $304,505,678 | 6 | February 4, 2026 |
| October 2025 | $282,693,589 | 7 | March 5, 2025 |
| October 2024 | $248,020,736 | 7 | February 27, 2024 |
| October 2023 | $229,479,010 | 7 | February 6, 2023 |
| October 2022 | $253,164,757 | 7 | August 26, 2022 |
| October 2021 | $226,201,031 | 6 | February 27, 2021 |
Regulatory assets under management: $226,201,031 in the October 2021 data and $304,505,678 in the October 2026 data, up 35%.
Total employees: 6 in October 2021 and 6 in October 2026.
As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.
Changes in the filing
Last 12 months- March 2026
- Employees performing advisory functions went from 4 to 3.
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.ISource: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. Hergenroeder Financial Advisors, Inc. (CRD 121278): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/hergenroeder-financial-advisors-inc-timonium-md-121278