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HERR INVESTMENT GROUP LLC

· CRD 315227 · IAPD ↗ · herrinvest.com · 312-971-7800

$747.6MRegulatory AUM
4Advisory reps
5Employees
0Clients
0Planning clients
1Private funds
6States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

63
October 2024 — HERR INVESTMENT GROUP LLC (location n/a) left the SEC roster (was $747.6M RAUM, 4 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
68
April 2024 — HERR INVESTMENT GROUP LLC now reports custody of client assets ($182.1M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
45
February 2024 — HERR INVESTMENT GROUP LLC notice-filed in FL.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.