{"url":"https://nivawealth.com/firms/erickson-financial-group-299818","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/299818","regulatoryAum":198863722,"crd":"299818","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"4528342","suffix":null,"lastName":"ERICKSON","firstName":"KERRY","middleName":"DUANE"},{"crd":"6152283","suffix":null,"lastName":"ERICKSON","firstName":"TIMOTHY","middleName":"J."},{"crd":"8181013","suffix":null,"lastName":"Wakeman","firstName":"Chad","middleName":"David"}],"total":3,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-03-12","regulatoryAum":115260426,"clients":231,"employees":4,"offices":1},{"filedOn":"2022-04-18","regulatoryAum":135880099,"clients":226,"employees":4,"offices":1},{"filedOn":"2023-03-13","regulatoryAum":113920345,"clients":221,"employees":4,"offices":1},{"filedOn":"2024-03-25","regulatoryAum":146639746,"clients":231,"employees":4,"offices":1},{"filedOn":"2025-07-30","regulatoryAum":169212484,"clients":238,"employees":4,"offices":1},{"filedOn":"2026-02-26","regulatoryAum":198863722,"clients":260,"employees":6,"offices":1}],"secFileNumber":"801-120774","legalName":"Erickson Financial Group, LLC","displayName":"Erickson Financial Group","slug":"erickson-financial-group-299818","website":"https://ericksonfinancialgroup.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/erickson-financial-group/","xUrl":"https://twitter.com/EricksonFinGrp","founded":null,"organization":"Pennsylvania limited liability company","fiscalYearEnd":"December","headquarters":{"street":"1011 Brookside Road, Suite 165","city":"Allentown","state":"PA","stateName":"Pennsylvania","country":"United States","postalCode":"18106"},"tradeNames":[],"registration":{"secApproved":"9 April 2021","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":752019.9461538461,"staff":{"employees":6,"advisory":3,"brokerDealerReps":0,"insuranceAgents":1,"promoters":0},"aum":{"regulatory":198863722,"discretionary":194226870,"discretionaryAccounts":790,"nonDiscretionary":4636852,"nonDiscretionaryAccounts":7,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":171,"regulatoryAum":33758292},{"label":"High-net-worth individuals","clients":89,"regulatoryAum":161766894},{"label":"Pension and profit-sharing plans","clients":null,"fewerThan5":true,"regulatoryAum":3236323},{"label":"Corporations and other businesses","clients":null,"fewerThan5":true,"regulatoryAum":102213}],"feePrograms":[{"role":"main","program":"Investment management services","feeBasis":"marginal","fee_tiers":[{"to":250000,"pct":1,"from":0},{"to":500000,"pct":0.9,"from":250000},{"to":1000000,"pct":0.8,"from":500000},{"to":2000000,"pct":0.7,"from":1000000},{"to":3000000,"pct":0.6,"from":2000000},{"to":null,"pct":0.5,"from":3000000}],"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1012489","versionId":1012489,"ratePeriod":"annual","fee_billing":"arrears","submittedOn":"2026-02-26","documentName":"ERICKSON FINANCIAL - DISCLOSURE BROCHURE AND BROCHURE SUPPLEMENTS","fee_rate_low":0.5,"fee_rate_high":1,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Financial planning","summary":"Stand-alone financial planning is billed hourly at $300 per hour, or as a fixed fee from $600 to $9,000; fees may be negotiable.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1012489","versionId":1012489,"submittedOn":"2026-02-26","documentName":"ERICKSON FINANCIAL - DISCLOSURE BROCHURE AND BROCHURE SUPPLEMENTS"},{"role":"other","program":"Retirement plan advisory services","summary":"Retirement plan advisory services carry an annual asset-based fee of up to 0.50%, billed monthly in arrears.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1012489","versionId":1012489,"submittedOn":"2026-02-26","documentName":"ERICKSON FINANCIAL - DISCLOSURE BROCHURE AND BROCHURE SUPPLEMENTS"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T16:14:12.11345+00:00","documents":[{"name":"ERICKSON FINANCIAL - DISCLOSURE BROCHURE AND BROCHURE SUPPLEMENTS","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1012489","versionId":1012489,"submittedOn":"2026-02-26"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":188325701}],"custodyNote":"Erickson Financial Group has custody of $4.45M in client assets for 4 clients.","otherCustodians":[],"leadership":[{"name":"Timothy Erickson","title":"Partner and Chief Compliance Officer","crd":"6152283"},{"name":"Kerry Erickson","title":"Managing Partner","crd":"4528342"}],"ownership":[{"label":"Timothy Erickson","detail":"Partner and chief compliance officer in the 25% to 50% ownership band and a control person, since January 2019."},{"label":"Kerry Erickson","detail":"Managing partner in the 75% or more ownership band and a control person, since January 2019."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Pennsylvania","offices":1,"addresses":[{"street":"1011 Brookside Road, Suite 165","city":"Allentown","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"484-209-5270","stateRegisteredReps":3,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Pension consulting services"],"financialPlanningClients":"1-10","assetMix":[{"label":"Exchange-traded equity securities","percent":85},{"label":"Securities issued by registered investment companies or business development companies","percent":11},{"label":"Cash and cash equivalents","percent":4}],"privateFunds":0},"sources":{"adv1FilingDate":"26 February 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/299818/PDF/299818.pdf","brochureDate":"26 February 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1012489","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Erickson Financial Group have?","answer":"Erickson Financial Group has 260 clients and manages $199 million for them, as of February 2026. They include 171 individual clients and 89 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 26 February 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Erickson Financial Group offer?","answer":"Erickson Financial Group provides financial planning, portfolio management for individuals and small businesses, and pension consulting.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Erickson Financial Group charge?","answer":"Erickson Financial Group charges 0.50%–1.00% a year for its Investment management services. Each asset band is charged at its own rate. The fee is billed in arrears and is negotiable.","source":"ERICKSON FINANCIAL - DISCLOSURE BROCHURE AND BROCHURE SUPPLEMENTS, filed 26 February 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Erickson Financial Group use?","answer":"Erickson Financial Group’s separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $188M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 26 February 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Erickson Financial Group have?","answer":"Erickson Financial Group has 3 investment adviser representatives registered with state securities authorities, out of 6 employees, and 3 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 1 employee is a licensed insurance agent.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Erickson Financial Group invest in?","answer":"At the end of its last fiscal year, Erickson Financial Group’s separately managed accounts held 85% exchange-traded equities, 11% registered funds (mutual funds, ETFs, BDCs) and 4% cash and equivalents.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Erickson Financial Group?","answer":"Erickson Financial Group’s direct owners are Timothy Erickson (25% to 50%) and Kerry Erickson (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 26 February 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Erickson Financial Group get paid?","answer":"Erickson Financial Group is paid through a percentage of assets under management, hourly charges and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Erickson Financial Group?","answer":"Erickson Financial Group’s main office is at 1011 Brookside Road, Suite 165, Allentown, PA 18106. Its phone number is 484-209-5270. Its website is ericksonfinancialgroup.com.","source":"Form ADV Part 1A, Item 1.F, filed 26 February 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":{"url":"https://nivawealth.com/firms/erickson-financial-group-299818/holdings","form":"13F-HR","periodOfReport":"2026-06-30","filedOn":"2026-07-27","filingIndexUrl":"https://www.sec.gov/Archives/edgar/data/1797734/000195175726001068/0001951757-26-001068-index.html","totalValue":186591676,"positionCount":25,"top10Share":0.9236817027143269,"top10":[{"issuer":"CAPITAL GROUP DIVIDEND VALUE","titleOfClass":"SHS CREAT UNIT","cusip":"14020W106","value":52124984,"shares":1057731,"shareType":"SH","priorValue":45091039,"priorShares":1059968},{"issuer":"VANGUARD WORLD FD","titleOfClass":"MEGA GRWTH IND","cusip":"921910816","value":28171639,"shares":320460,"shareType":"SH","priorValue":27198276,"priorShares":74021},{"issuer":"ISHARES TR","titleOfClass":"ESG AWR MSCI 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`sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}