SourcingSourcing

HERGENROEDER FINANCIAL ADVISORS, INC.

B51
CRD 121278·SEC 801-80882·TIMONIUM, MD
AUM
$304.5M
$100M-$500M
Est. Revenue
$3.0M
@ 1% on AUM
Est. EBITDA
$914K
@ 30% margin
Est. Deal Value
$7.3M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
HERGENROEDER FINANCIAL ADVISORS, INC.
CRD
121278
SEC file #
801-80882
EIN
—
DBA names
—

Economics

AUM
$304.5M
AUM band
$100M-$500M
AUM trajectory
'20'26
$169.4M → $304.5M▲ +80%
Client mix
Individuals Other323
Individuals High Net Worth98

Operations

Employees (total)
6
Advisory staff (per ADV)
3
Advisory staff (5-yr trend)
'20'26
5 advisors → 3 advisors▼ -40%
Primary office
TIMONIUM MD
Branches
—

Custodian & Brokerage

Primary custodian
LPL Financiallow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — businesses
Fee basis
% of AUMHourly chargesFixed fees

Filings

Latest ADV filing
02/04/2026
ADV-W filed at
—
Website
hfainc.net

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
HERGENROEDER, REBECCA, MARIE
Top Owner Pct
62.5
Top Owner Entity Kind
I
Owner Count
2
Control Persons
HERGENROEDER, REBECCA, MARIE
HERGENROEDER, LISA, ANN
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
HFAINC.NET
Rdap Domain Creation Date
2009-04-28T20:48:24Z
Rdap Firm Age Years
17
Rdap Firm Age Band
10-20y
Rdap Registrar
Advanced Internet Technologies, Inc. (AIT)

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (14)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
4
Bc Firm Active IA Count
4
Bc Firm IAR Count
4
Custodian Candidates
Full
Lpl Financial4
E*trade4
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2030-04-28T20:48:24Z
Rdap Domain Last Changed
2024-04-05T14:19:18Z
Rdap Nameservers
Ns0.nameservices.netNs1.nameservices.net
Rdap Secure Dns Enabled
No
Rdap Status
Active
Top Owner CRD
2231927
Trust Company Affiliate
No

People (4)

4
HERGENROEDER, REBECCA, MARIE
IAR · Direct Owner · 62.5%
2231927
HERGENROEDER, LISA, ANN
IAR · Direct Owner · 37.5%
2390965
JON THOMAS ALAN SNYDER
IAR
6588517
Kenneth Lloyd McQuay
IAR
7606492