Hergenroeder Financial Advisors provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, estate planning, insurance, and tax planning. Financial planning was provided to 51–100 clients last fiscal year.
Hergenroeder Financial Advisors reports 421 clients. They include 323 individual clients and 98 high-net-worth individuals. Of its assets, 100.0% ($305M across 624 accounts) are managed with discretion.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 77% | 44% |
| High-net-worth individuals | 23% | 56% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 323 | $134M | 44.1% | $415K |
| High-net-worth individuals | 98 | $170M | 55.9% | $1.74M |
| Total | 421 | $305M | 100% | $723K |
- Clients
- 323
- Regulatory AUM
- $134M
- AUM share
- 44.1%
- Avg. per client
- $415K
- Clients
- 98
- Regulatory AUM
- $170M
- AUM share
- 55.9%
- Avg. per client
- $1.74M
Total
- Clients
- 421
- Regulatory AUM
- $305M
- AUM share
- 100%
- Avg. per client
- $723K
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 51–100
Hergenroeder Financial Advisors charges 1.00%–1.60% a year for its Investment Management Services. The fee is billed in advance and is negotiable. The brochure also prices one other service, listed under fee details.
Fee details and sources
Other fees
- Stand-alone financial planning and consulting
- Negotiable fixed fees generally $1,500 to $15,000, or $250 an hour; a $500 deposit is due in advance and the balance on completion.
Rebecca Hergenroeder owns 50% to 75% of Hergenroeder Financial Advisors. The leadership team of Hergenroeder Financial Advisors includes President Rebecca Hergenroeder. It has 6 employees, 3 of them in advisory roles.
Leadership
- Rebecca HergenroederPresident and Chief Compliance Officer
- Lisa HergenroederVice President
Investment adviser representatives
4 representatives listed in the SEC register as of 9 October 2026.
- Lisa Ann Hergenroeder
- Rebecca Marie Hergenroeder
- Kenneth Lloyd McQuay
- Jon Thomas Alan Snyder
Staff
- 6 employees
- 3 in advisory functions
- 3 state-registered reps
- 4 broker-dealer reps
- 3 insurance agents
- Owns 50% to 75% of Hergenroeder Financial Advisors, Inc.
Rebecca Hergenroeder
Control person · since July 1999
- Owns 25% to 50% of Hergenroeder Financial Advisors, Inc.
Lisa Hergenroeder
Control person · since April 2005
Hergenroeder Financial Advisors’ regulatory assets grew from $226M (February 2021) to $305M (February 2026); clients fell from 449 to 421 and employees were 6 in both filings.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| February 2026 | $305M | 421 | 6 | 1 |
| March 2025 | $283M | 438 | 7 | 1 |
| February 2024 | $248M | 439 | 7 | 1 |
| February 2023 | $229M | 468 | 7 | 1 |
| February 2022 | $253M | 470 | 7 | 1 |
| February 2021 | $226M | 449 | 6 | 1 |
Besides its headquarters, Hergenroeder Financial Advisors has 0 offices, with 1 listed address in Maryland.
Maryland · 1 listed address
- 1954 Greenspring Drive, Suite 230, TimoniumHQ
Contact and registration details
- Legal name
- Hergenroeder Financial Advisors, Inc.
- Headquarters
- 1954 Greenspring Drive, Suite 230, Timonium, MD 21093
- Website
- hfainc.net
- Phone
- 410-769-8262
- @hergenroeder-financial-advisor
- SEC file
- 801-80882
- Structure
- Maryland corporation
- Fiscal year end
- December
Hergenroeder Financial Advisors uses LPL Financial ($305M) as custodian for its separately managed accounts. Hergenroeder Financial Advisors does not have custody of client assets.
- LPL FinancialLPL Financial LLC · Boston, MA · $305M100%
At year end, Hergenroeder Financial Advisors’ separately managed accounts were mostly in funds (86%).
What the accounts hold
- Stocks9%
- Funds86%
- Bonds1%
- Cash4%
How many clients does Hergenroeder Financial Advisors have?
Hergenroeder Financial Advisors has 421 clients and manages $305 million for them, as of February 2026. They include 323 individual clients and 98 high-net-worth individuals.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 4 February 2026
What services does Hergenroeder Financial Advisors offer?
Hergenroeder Financial Advisors provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, estate planning, insurance, and tax planning.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4
How much does Hergenroeder Financial Advisors charge?
Hergenroeder Financial Advisors charges 1.00%–1.60% a year for its Investment Management Services. The fee is billed in advance and is negotiable.
Source: PLAIN ENGLISH BROCHURE HERGENROEDER FINANCIAL ADVISORS, INC, filed 4 February 2026
Which custodians does Hergenroeder Financial Advisors use?
Hergenroeder Financial Advisors’ separately managed account assets are held at LPL Financial LLC (Boston, MA), with $305M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 4 February 2026
How many financial advisors does Hergenroeder Financial Advisors have?
Hergenroeder Financial Advisors has 3 investment adviser representatives registered with state securities authorities, out of 6 employees, and 3 perform investment advisory functions. 4 employees are registered representatives of a broker-dealer and 3 employees are licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Hergenroeder Financial Advisors invest in?
At the end of its last fiscal year, Hergenroeder Financial Advisors’ separately managed accounts held 86% registered funds (mutual funds, ETFs, BDCs), 9% exchange-traded equities, 4% cash and equivalents and 1% U.S. government and agency bonds.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Hergenroeder Financial Advisors?
Hergenroeder Financial Advisors’ direct owners are Rebecca Hergenroeder (50% to 75%) and Lisa Hergenroeder (25% to 50%).
Source: Form ADV Part 1A, Schedules A and B, filed 4 February 2026
How does Hergenroeder Financial Advisors get paid?
Hergenroeder Financial Advisors 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
How do I contact Hergenroeder Financial Advisors?
Hergenroeder Financial Advisors’ main office is at 1954 Greenspring Drive, Suite 230, Timonium, MD 21093. Its phone number is 410-769-8262. Its website is hfainc.net.