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HERBEIN FINANCIAL GROUP, LLC

ALLENTOWN, PA · CRD 322194 · IAPD ↗ · herbein.com · 484-509-1136

$0Regulatory AUM
2Advisory reps
2Employees
75Clients
51-100Planning clients
0Private funds
2States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

60
September 2026 — HERBEIN FINANCIAL GROUP, LLC (ALLENTOWN, PA) left the SEC roster (was $0 RAUM, 2 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
58
January 2026 — HERBEIN FINANCIAL GROUP, LLC reports 51-100 financial-planning clients, up from 26-50.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
42
January 2025 — HERBEIN FINANCIAL GROUP, LLC notice-filed in NJ.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
61
January 2025 — HERBEIN FINANCIAL GROUP, LLC reports 26-50 financial-planning clients, up from 1-10.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
45
April 2024 — HERBEIN FINANCIAL GROUP, LLC moved its main office from TANNERSVILLE, PA to ALLENTOWN, PA.
Main office moved to a different city or state.
Office IT & facilitiesMarketing & brand
58
April 2024 — HERBEIN FINANCIAL GROUP, LLC reports 1-10 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software

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