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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

HABERLING FINANCIAL GROUP, INC.

CRD 118153

KENNEWICK, WA

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:efe8fb27-06d2-308d-7d2e-70cf239c99d6

Data as of Oct 21, 2015 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:21 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Mar 20, 2012 to Oct 21, 2015
16 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $332MItem 5.F on the latest filing (2015-10-21); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $327M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 13
Advisory employees: 5
Accounts: 2,239
Custody, client assets: $0
SEC number: 801-61119
CRD: 118153
Filings on the tape: 16
First filed: Mar 20, 2012
Latest filed: Oct 21, 2015
Organised: Corporation, Washington

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
HABERLING, JON, TYLER	President	D	yes	01/1982	Mar 20, 2012	Oct 21, 2015
MESSINGER, BENJAMIN, DAVID	VICE PRESIDENT	B	yes	01/2009	Mar 20, 2012	Oct 21, 2015
TALLMAN, TIMOTHY, MICHAEL	Treasurer	B	yes	01/2009	Mar 20, 2012	Oct 21, 2015
LAGONEGRO, ROBERT, M	CHIEF COMPLIANCE OFFICER	A	no	01/2014	Apr 1, 2013	Oct 21, 2015
PALM, STEPHEN, NORRIS	OPERATIONS OFFICER	A	no	12/2012	Apr 1, 2013	Oct 21, 2015
WANG, WILLIAM, TING HSIANG	MINORITY OWNER	A	no	01/2015	Feb 27, 2015	Oct 21, 2015

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
2014	Feb 27, 2015	$332M	$327M	13	5	n/a	n/a	n/a
2013	Mar 26, 2014	$287M	$287M	11	5	n/a	n/a	n/a
2012	Apr 1, 2013	$252M	$252M	11	5	n/a	n/a	n/a
2011	Mar 20, 2012	$263M	$263M	n/a	n/a	n/a	n/a	n/a

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
2014	$332M	$287M	15.7%	$263M	8.1%	13	11	n/a	n/a

Relationships

Controls (3)

← HABERLING, JON, TYLEROwnerPRESIDENT, ownership code D, individual
Mar 20, 2012 to presentfactForm ADV
← MESSINGER, BENJAMIN, DAVIDOwnerVICE PRESIDENT, ownership code B, individual
Mar 20, 2012 to presentfactForm ADV
← TALLMAN, TIMOTHY, MICHAELOwnerTREASURER, ownership code B, individual
Mar 20, 2012 to presentfactForm ADV

Owns (3)

← PALM, STEPHEN, NORRISOwnerOPERATIONS OFFICER, ownership code A, individual
Apr 1, 2013 to presentfactForm ADV
← LAGONEGRO, ROBERT, MOwnerCHIEF COMPLIANCE OFFICER, ownership code A, individual
Apr 1, 2013 to presentfactForm ADV
← WANG, WILLIAM, TING HSIANGOwnerMINORITY OWNER, ownership code A, individual
Feb 27, 2015 to presentfactForm ADV

Registered with (1)

← WILLIAM TING HSIANG WANGAdvisorregistration: previous registration
Sep 10, 2015 to Feb 1, 2016factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:efe8fb27-06d2-308d-7d2e-70cf239c99d6
First observed: Mar 20, 2012
Last observed: Oct 21, 2015 132 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.

HABERLING FINANCIAL GROUP, INC.

CRD 118153

KENNEWICK, WA

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:efe8fb27-06d2-308d-7d2e-70cf239c99d6

Data as of Oct 21, 2015 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:21 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

HABERLING, JON, TYLER

President

yes

01/1982

Mar 20, 2012

Oct 21, 2015

MESSINGER, BENJAMIN, DAVID

VICE PRESIDENT

yes

01/2009

Mar 20, 2012

Oct 21, 2015

TALLMAN, TIMOTHY, MICHAEL

Treasurer

yes

01/2009

Mar 20, 2012

Oct 21, 2015

LAGONEGRO, ROBERT, M

CHIEF COMPLIANCE OFFICER

01/2014

Apr 1, 2013

Oct 21, 2015

PALM, STEPHEN, NORRIS

OPERATIONS OFFICER

12/2012

Apr 1, 2013

Oct 21, 2015

WANG, WILLIAM, TING HSIANG

MINORITY OWNER

01/2015

Feb 27, 2015

Oct 21, 2015

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2014

Feb 27, 2015

$332M

$327M

n/a

2013

Mar 26, 2014

$287M

n/a

2012

Apr 1, 2013

$252M

n/a

2011

Mar 20, 2012

$263M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2014

$332M

$287M

15.7%

$263M

8.1%

n/a