NORTHEAST FINANCIAL GROUP, INC. of ALLENTOWN, PA is an SEC-registered investment adviser (CRD 122609). Regulatory assets under management: $1.4B.
Compensation: % of AUM, Hourly, Fixed, Performance.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities, Investment cos.
| Name | Role | Location |
|---|---|---|
| Josh Robert Laychock | PRESIDENT | — |
| Robert Lee Hackenberg | CHIEF COMPLIANCE OFFICER | — |
| Alexander Farnum Lippitt | CHIEF INVESTMENT OFFICER | — |
| HACKENBERG ROBERT LEE | CHIEF COMPLIANCE OFFICER; PRESIDENT, TREASURER, DIRECTOR, CHIEF COMPLIANCE OFFICER | — |
| LAYCHOCK JOSH ROBERT | PRESIDENT; VICE PRESIDENT | — |
| Lippitt Alexander Farnum | CHIEF INVESTMENT OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2021-01-28 | regulatory | THE SEC ALLEGED THAT NORTHEAST VIOLATED SECTION 206(4) OF THE INVESTMENT ADVISERS ACT OF 1940 AND RULE 206(4)-2 THEREUNDER BY FAILING TO HAVE AUDITS PERFORMED, AND FAILING TO DELIVER AUDITED FINANCIAL STATEMENTS, FOR CERTAIN PRIVATE FUNDS AND OTHERWISE FAILED TO SATISFY THE REQUIREMENTS OF THE CUSTO… | Final | $75K |