# Northeast Financial Group, Inc.

> Northeast Financial Group, Inc. is an SEC-registered investment advisory firm in Allentown, PA, registered since 2013, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated July 28, 2026.

- CRD: 122609
- Filed as: NORTHEAST FINANCIAL GROUP, INC.
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Allentown, PA
- Filing period: October 2026
- Form ADV filing dated: July 28, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/122609
- AdvisorCensus page: https://advisorcensus.com/firm/northeast-financial-group-inc-allentown-pa-122609

## Quick answers

**How is Northeast Financial Group, Inc. compensated?**
On its Form ADV (Item 5.E, October 2026), Northeast Financial Group, Inc. reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees); performance-based fees.

**What does Northeast Financial Group, Inc.'s brochure say about its fees?**
Its Form ADV Part 2A brochure dated July 28, 2026 states: Asset-based fee: 0.2% to 1.35% a year (a range, as the brochure states it). Fees can differ by service and may be negotiable; the brochure is the complete statement.

**Where is Northeast Financial Group, Inc. located?**
Northeast Financial Group, Inc.'s principal office is in Allentown, PA, according to its Form ADV; the August 2026 filing also lists 2 other offices (Schedule D, Section 1.F).

**Is Northeast Financial Group, Inc. registered with the SEC or a state?**
Northeast Financial Group, Inc. is an SEC-registered investment advisory firm, registered since 2013. Status as filed: Approved. CRD 122609.

**How much does Northeast Financial Group, Inc. manage?**
Northeast Financial Group, Inc. reports $1,442,742,559 in regulatory assets under management in its Form ADV filing dated July 28, 2026 (49% discretionary).

**How have Northeast Financial Group, Inc.'s assets and staff changed since 2021?**
In the Form ADV data for Northeast Financial Group, Inc.: Regulatory assets under management: $696,481,363 in the October 2021 data and $1,442,742,559 in the October 2026 data, up 107%. Total employees: 11 in October 2021 and 1 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Northeast Financial Group, Inc. serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (393); high net worth individuals (160); other (61).

**Which custodians does Northeast Financial Group, Inc. use?**
Northeast Financial Group, Inc.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and Matrix Trust Co. as custodians holding 10% or more of its separately managed account assets.

**Does Northeast Financial Group, Inc. report any disciplinary disclosures?**
Reports 3 disclosure items on Form ADV Item 11: yes answers to 11.C(2) (SEC or CFTC finding of a violation), 11.C(4) (SEC or CFTC order), and 11.C(5) (SEC or CFTC civil money penalty or cease-and-desist order). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/122609

**What changed in Northeast Financial Group, Inc.'s recent Form ADV filings?**
In the August 2026 filing data: Item 11 disclosure answers changed: 3 yes answers, previously 0 (now yes: 11.C(2), 11.C(4), 11.C(5)).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Performance-based fees

### Fees and minimums (Form ADV Part 2A brochure dated July 28, 2026)

- Asset-based fee: 0.2% to 1.35% a year (a range, as the brochure states it)

> NEFG provides investment management services for an annual fee based upon a percentage of assets under management. The annual fee for the Firm’s portfolios varies from 0.20% to 1.35% and is largely determined by the size and composition of a client’s investment portfolio.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.
- Matrix Trust Co.

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.

### Regulatory assets under management (Item 5.F)
- Total: $1,442,742,559
- Discretionary: $707,986,819
- Non-discretionary: $734,755,740

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 393 | $148,566,424 |
| High net worth individuals | 160 | $383,648,779 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 4 | $22,390,796 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 58 | $401,069,715 |
| Charitable organizations | 17 | $76,757,389 |
| State or municipal government entities (including government pension plans) | 31 | $266,458,012 |
| Other investment advisers | 1 | $121,117,889 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | 14 | $18,903,452 |
| Other | 61 | $3,830,103 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)

### Firm details
- Registered since: 2013 (13 years)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CA, DE, FL, IL, NC, NH, NJ, NY, PA, SC, TX
- Disclosures (Item 11): Reports 3 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.C(2): Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?
- 11.C(4): Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?
- 11.C(5): Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/122609

### Other offices (Schedule D, Section 1.F), as of the August 2026 filing
- Tannersville, PA
- Wyomissing, PA

### Websites listed on Form ADV (Item 1.I)
- nefginc.com
- LinkedIn @NORTHEAST-FINANCIAL-GROUP-INC.

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $696,481,363 | 11 | March 31, 2021 |
| October 2022 | $864,734,210 | 12 | August 17, 2022 |
| October 2023 | $775,066,299 | 7 | April 3, 2023 |
| October 2024 | $1,000,469,143 | 9 | April 5, 2024 |
| October 2025 | $1,205,206,195 | 10 | March 26, 2025 |
| October 2026 | $1,442,742,559 | 1 | July 28, 2026 |

Regulatory assets under management: $696,481,363 in the October 2021 data and $1,442,742,559 in the October 2026 data, up 107%.
Total employees: 11 in October 2021 and 1 in October 2026.

## Changes in the filing (last 12 months)

### August 2026
- Item 11 disclosure answers changed: 3 yes answers, previously 0 (now yes: 11.C(2), 11.C(4), 11.C(5)).

### April 2026
- Employees performing advisory functions went from 10 to 1.
- Regulatory assets under management went from $1,205,206,195 to $1,442,742,559 (+20%).
- Updated its list of owners and control persons (Schedule A).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Northeast Financial Group, Inc. (CRD 122609): Form ADV filing data as of October 2026.