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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

HERGENROEDER FINANCIAL ADVISORS, INC.

CRD 121278

TIMONIUM, MD

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:ab0c38db-35fa-1381-dd83-7fedb1dbf701

Data as of Feb 4, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 3
On other graphs: 0
Observed: Jan 14, 2015 to Feb 4, 2026
21 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=4.0
Regulatory AUM: $305MItem 5.F on the latest filing (2026-02-04); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $305M
Private client RAUM: $305MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor: $76.1Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 6
Advisory employees: 3
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 624
Individual clients: 323
High net worth clients: 98
SEC number: 801-80882
CRD: 121278
Filings on the tape: 21
First filed: Jan 14, 2015
Latest filed: Feb 4, 2026
Organised: Corporation, MD
Website: hfainc.net

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
REBECCA MARIE HERGENROEDER	Certified Financial Planner\|Chartered Financial Consultant	TIMONIUM, MD	27	34	n/a	yes
LISA ANN HERGENROEDER	Certified Financial Planner\|Chartered Financial Consultant	TIMONIUM, MD	23	32	1	yes
JON THOMAS ALAN SNYDER	Certified Financial Planner	TIMONIUM, MD	5	10	1	yes
Kenneth Lloyd McQuay	n/a	TIMONIUM, MD	0	12	1	yes

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
HERGENROEDER, LISA, ANN	VICE PRESIDENT	C	yes	04/2005	Jan 14, 2015	Oct 28, 2024
HERGENROEDER, REBECCA, MARIE	PRESIDENT AND CHIEF COMPLIANCE OFFICER	D	yes	07/1999	Jan 14, 2015	Oct 28, 2024

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Feb 4, 2026	$305M	$305M	6	3	0	n/a	n/a
2024	Mar 5, 2025	$283M	$283M	7	4	0	n/a	n/a
2023	Feb 27, 2024	$248M	$245M	7	4	0	n/a	n/a
2022	Feb 6, 2023	$229M	$227M	7	5	0	n/a	n/a
2021	Feb 25, 2022	$253M	$250M	7	5	0	n/a	n/a
2020	Feb 27, 2021	$226M	$223M	6	3	0	n/a	n/a
2019	Feb 19, 2020	$205M	$202M	9	5	1	n/a	n/a
2018	Feb 3, 2019	$169M	$167M	8	5	1	n/a	n/a
2017	Mar 6, 2018	$168M	$164M	8	6	1	n/a	n/a
2016	Feb 24, 2017	$155M	$152M	7	7	n/a	n/a	n/a
2015	Mar 15, 2016	$149M	$146M	5	5	n/a	n/a	n/a
2014	Mar 19, 2015	$128M	$128M	4	4	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
1	0	1	0.0%	0	0	0	1	1

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$305M	$283M	7.7%	$229M	9.9%	6	7	0	0

Relationships

Registered with (9)

← Kenneth Lloyd McQuayAdvisorregistration: current employment
May 6, 2026 to presentfactForm ADV
← JON THOMAS ALAN SNYDERAdvisorregistration: current employment
Mar 1, 2021 to presentfactForm ADV
← LISA ANN HERGENROEDERAdvisorregistration: current employment
Feb 4, 2003 to presentfactForm ADV
← REBECCA MARIE HERGENROEDERAdvisorregistration: current employment
Jun 29, 1999 to presentfactForm ADV
← Kevin Raphael KellyAdvisorregistration: previous registration
Feb 5, 2021 to Aug 12, 2025factForm ADV
← Jacob CohenAdvisorregistration: previous registration
May 23, 2022 to May 3, 2023factForm ADV
← MICHAEL JOSEPH BRANTHOVERAdvisorregistration: previous registration
Feb 5, 2016 to Mar 16, 2020factForm ADV
← ANTHONY PATRICK MALIZIAAdvisorregistration: previous registration
Mar 24, 2016 to Feb 21, 2018factForm ADV
← RYAN SCOTT APPLEBYAdvisorregistration: previous registration
Apr 18, 2005 to Aug 12, 2014factForm ADV

Controls (2)

← HERGENROEDER, REBECCA, MARIEOwnerPRESIDENT AND CHIEF COMPLIANCE OFFICER, ownership code D, individual
Jan 14, 2015 to Oct 28, 2024factForm ADV
← HERGENROEDER, LISA, ANNOwnerVICE PRESIDENT, ownership code C, individual
Jan 14, 2015 to Oct 28, 2024factForm ADV

Dated events

Occurred
Aug 12, 2025
Advisor changed firm
Kevin Raphael Kelly left Hergenroeder Financial Advisors, Inc. for Independent Advisor Alliance, Llc (registered 2025-10-06)
Form ADVobserved 4 days ago
Occurred
May 3, 2023
Advisor changed firm
Jacob Cohen left Hergenroeder Financial Advisors, Inc. for Creative Planning (registered 2023-05-15)
Form ADVobserved 4 days ago
Occurred
Jan 14, 2015
First Form ADV filing
Hergenroeder Financial Advisors, Inc. filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ab0c38db-35fa-1381-dd83-7fedb1dbf701
First observed: Jan 14, 2015
Last observed: Feb 4, 2026 7 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

HERGENROEDER FINANCIAL ADVISORS, INC.

CRD 121278

TIMONIUM, MD

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:ab0c38db-35fa-1381-dd83-7fedb1dbf701

Data as of Feb 4, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:59 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

REBECCA MARIE HERGENROEDER

Certified Financial Planner|Chartered Financial Consultant

TIMONIUM, MD

n/a

yes

LISA ANN HERGENROEDER

Certified Financial Planner|Chartered Financial Consultant

TIMONIUM, MD

yes

JON THOMAS ALAN SNYDER

Certified Financial Planner

TIMONIUM, MD

yes

Kenneth Lloyd McQuay

n/a

TIMONIUM, MD

yes

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

HERGENROEDER, LISA, ANN

VICE PRESIDENT

yes

04/2005

Jan 14, 2015

Oct 28, 2024

HERGENROEDER, REBECCA, MARIE

PRESIDENT AND CHIEF COMPLIANCE OFFICER

yes

07/1999

Jan 14, 2015

Oct 28, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Feb 4, 2026

$305M

n/a

2024

Mar 5, 2025

$283M

n/a

2023

Feb 27, 2024

$248M

$245M

n/a

2022

Feb 6, 2023

$229M

$227M

n/a

2021

Feb 25, 2022

$253M

$250M

n/a

2020

Feb 27, 2021

$226M

$223M

n/a

2019

Feb 19, 2020

$205M

$202M

n/a

2018

Feb 3, 2019

$169M

$167M

n/a

2017

Mar 6, 2018

$168M

$164M

n/a

2016

Feb 24, 2017

$155M

$152M

n/a

2015

Mar 15, 2016

$149M

$146M

n/a

2014

Mar 19, 2015

$128M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$305M

$283M

7.7%

$229M

9.9%