SEC-Registered Investment Adviser
Northeast Financial Group, INC.
Registration facts are from the firm's Form ADV Part 1A as published by the SEC, latest filing dated July 28, 2026. Figures are firm-level: they describe the advisory firm, not any single offering.
Registration
- Status
- Approved
- Registered since
- June 14, 2013
- Principal office
- 3435 Winchester Road, Suite 102, Allentown, PA 18104
- Organized as
- Corporation, PA
- Fiscal year end
- December
- Other offices
- 2
Scale
- Regulatory AUM
- $1.4B
- Discretionary / non-discretionary
- $708.0M / $734.8M
- Accounts
- 1,710
- Clients
- 0
- Employees
- 1, 1 in advisory roles
- Private funds advised
- 4
- Private fund gross assets
- $22.4M
- Fund types
- 2 real estate funds, 1 other private funds
- Funds with Form D records
- 3 issuers in AltStreet's ledger, $5.8M reported sold across them
- Client assets in custody
- $22.4M (3 clients)
Business, clients and compensation, as filed
- Advisory activities
- financial planning, portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients, pension consulting and selection of other advisers
- Compensated by
- a percentage of assets under management, hourly charges, fixed fees and performance-based fees
- Client types
- individuals (other than high net worth) (393); high net worth individuals (160); banking or thrift institutions (0); investment companies (0); business development companies (0); pooled investment vehicles (4); pension and profit sharing plans (58); charitable organizations (17); state or municipal government entities (31); other investment advisers (1); insurance companies (0); sovereign wealth funds and foreign official institutions (0); corporations or other businesses (14); other (61)
- Also engaged as
- insurance broker or agent
- Related persons include
- another investment adviser, an insurance company or agency and a sponsor, general partner or managing member of pooled investment vehicles
- Affiliates
- 1 investment adviser
Form ADV Item 11 disclosures
The firm answered yes to the following Item 11 questions. The answers cover the firm and its advisory affiliates; the Disclosure Reporting Pages on IAPD identify the subject and the outcome.
- SEC or CFTC finding of a violation of regulations or statutes (Item 11C(2))
- SEC or CFTC order against the firm or an affiliate (Item 11C(4))
- SEC or CFTC civil money penalty or cease-and-desist (Item 11C(5))
Form D activity of the funds this firm advises, by year
3 issuers in AltStreet's EDGAR ledger are joined to this adviser through Form ADV Schedule D, with Form D filings from July 6, 2017 to September 25, 2019. Reported sold across them: $5.8M.Years are the year of each offering's first notice; sold and investors are the latest figures on each chain. Counts and totals only; the fund roster is in the terminal.
| First notice | Offerings | Reported sold | Investors |
|---|---|---|---|
| 2018 | 1 | $1.7M | 5 |
| 2017 | 2 | $4.1M | 12 |
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Source: SEC Form ADV via IARD (roster of October 6, 2026), matched to the platform by AltStreet analysts. Item 11 answers are as reported on the firm's Form ADV and cover the firm and its advisory affiliates; consult the firm's IAPD record for the Disclosure Reporting Pages. Brochure statements are the firm's own. Nothing on this page is investment advice.