Herzog Financial Group, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Herzog Financial Group, LLC provides financial planning and wealth management to individuals, families, small business owners and retirees, offering hourly planning services as well as discretionary and non‑discretionary portfolio management. The firm typically applies a $500,000 portfolio guideline (which it may waive in certain circumstances) and serves roughly 87 clients with about $48 million in assets under management.
Herzog’s investment process emphasizes strategic asset allocation combined with active selection of mutual funds, ETFs, individual equities and investment‑grade municipal, government and corporate bonds (generally BBB+ or comparable). The firm applies fundamental and cyclical analysis to develop a client‑specific Investment Plan and states that it operates as a fee‑only fiduciary without charging performance‑based fees.
The firm’s brochure discloses a past consent order and a small fine related to a late state registration with Illinois, a regulatory event that the firm reports as resolved—an uncommon disclosure among peers. Herzog also discloses potential conflicts tied to soft‑dollar benefits from custodians, maintains personal‑trading timing restrictions to address trading conflicts, and does not accept proxy‑voting authority, leaving votes to clients.
Client services
Expertise
Occupation focus
Fee options
Flat annual fee for discretionary portfolio management may be charged as agreed upon by client
$0 - $500,000: 1.25% $500,001 - $2,000,000: 1.00% $2,000,001 - $5,000,000: 0.75% $5,000,001+: 0.50%
$250 per hour for financial planning services, invoiced monthly or upon project completion, negotiable or waivable
Account minimum: $500,000 Fee-only: Fee-only, no commissions, compensated solely by clients
Main office
3636 S. Geyer Road, Suite 100
Saint Louis MO 63127
Advisors at this office
1
Most active in
Illinois · Missouri
Also doing business as
Herzog Financial Group LLC · Herzog Financial Group, LLC
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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