NVEST FINANCIAL, LLC
Adviser information for NVEST FINANCIAL, LLC last updated from Form ADV on March 14th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | New Hampshire, United States |
Employees
| Total Number of Employees | 12 |
|---|---|
| Investment Advisory/Research | 7 |
| Registered Broker-Dealer Representatives | 5 |
| Registered State Investment Advisers | 5 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 989 | $379.8M |
| Non-Discretionary | 0 | $0 |
| Total | 989 | $379.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 397 | $162.1M |
| HNW Individuals | 89 | $209.4M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 6 | $3.8M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 5 | $4.5M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 1 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 11-25 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Registered representative of a broker-dealerInsurance broker or agentBUSINESS CONSULTING |
Principal Office
TWO INTERNATIONAL DRIVESUITE 110
PORTSMOUTH
NH
United States
Monday - Friday, 9:00 - 5:00
Tel: 207-985-8585, Fax: 207-985-8595
Chief Compliance Officer
NICHOLE D. RAFTOPOULOS
CHIEF EXECUTIVE OFFICER
TWO INTERNATIONAL DRIVE
SUITE 110
PORTSMOUTH
NH
United States
Tel:
207-985-8585
Fax:
(207) 985-8595
N******@*****************M
(Full email address available in API data)
Regulatory Contact
JUSTIN HAPP
COMPLIANCE MANAGER
TWO INTERNATIONAL DRIVE
SUITE 110
PORTSMOUTH
NH
United States
Tel:
207 985 8585
J*****@*****************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| RAFTOPOULOS, NICHOLE, DEMETRIA | Individual | – | CHIEF EXECUTIVE OFFICER & CHIEF COMPLIANCE OFFICER | 06/2003 | 50-75% |
| RAFTOPOULOS, GEORGE, NMN | Individual | – | PRESIDENT | 09/2020 | 25-50% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed July 19th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| ABBOTT LABS | COM | 462K | 4K | – |
| ADOBE INC | COM | 921K | 2K | – |
| AIM ETF PRODUCTS TRUST | US LARCP B10 MAR | 962K | 30K | – |
| AIM ETF PRODUCTS TRUST | US LARCP B10 MAY | 1M | 42K | – |
| AIM ETF PRODUCTS TRUST | US LRGCP B10 APR | 2M | 42K | – |
| AIM ETF PRODUCTS TRUST | US LRGCP B10 FEB | 338K | 11K | – |
| AIM ETF PRODUCTS TRUST | US LRGCP B10 JUN | 556K | 18K | – |
| AIR PRODS & CHEMS INC | COM | 413K | 2K | – |
| AIRBNB INC | COM CL A | 217K | 1K | – |
| ALPHABET INC | CAP STK CL A | 5M | 26K | – |
| ALPHABET INC | CAP STK CL C | 356K | 2K | – |
| AMAZON COM INC | COM | 5M | 23K | – |
| APPLE INC | COM | 7M | 34K | – |
| ASML HOLDING N V | N Y REGISTRY SHS | 422K | 413 | – |
| AUTOMATIC DATA PROCESSING IN | COM | 494K | 2K | – |
| BANK AMERICA CORP | COM | 268K | 7K | – |
| BERKSHIRE HATHAWAY INC DEL | CL B NEW | 5M | 13K | – |
| CHEVRON CORP NEW | COM | 3M | 17K | – |
| CHIPOTLE MEXICAN GRILL INC | COM | 1M | 19K | – |
| CISCO SYS INC | COM | 237K | 5K | – |
| CONSTELLATION BRANDS INC | CL A | 482K | 2K | – |
| COSTCO WHSL CORP NEW | COM | 2M | 2K | – |
| DANAHER CORPORATION | COM | 852K | 3K | – |
| DEXCOM INC | COM | 292K | 3K | – |
| ELECTRA BATTERY MATERIALS CO | COM NEW | 4K | 10K | – |
| ELI LILLY & CO | COM | 1M | 2K | – |
| EXXON MOBIL CORP | COM | 450K | 4K | – |
| IDEXX LABS INC | COM | 1M | 2K | – |
| INVESCO EXCHANGE TRADED FD T | S&P 500 GARP ETF | 316K | 3K | – |
| INVESCO EXCHANGE TRADED FD T | S&P500 EQL WGT | 520K | 3K | – |
| INVESCO EXCHANGE TRADED FD T | S&P500 PUR GWT | 2M | 56K | – |
| INVESCO QQQ TR | UNIT SER 1 | 3M | 5K | – |
| ISHARES TR | EUROPE ETF | 2M | 43K | – |
| ISHARES TR | RUS 1000 GRW ETF | 15M | 42K | – |
| ISHARES TR | RUS 1000 VAL ETF | 743K | 4K | – |
| ISHARES TR | RUS 2000 GRW ETF | 270K | 1K | – |
| ISHARES TR | RUS 2000 VAL ETF | 251K | 2K | – |
| ISHARES TR | RUS MD CP GR ETF | 2M | 17K | – |
| ISHARES TR | RUS MDCP VAL ETF | 286K | 2K | – |
| ISHARES TR | RUS MID CAP ETF | 3M | 40K | – |
| ISHARES TR | RUSSELL 2000 ETF | 888K | 4K | – |
| ISHARES TR | RUSSELL 3000 ETF | 2M | 6K | – |
| ISHARES TR | S&P 500 VAL ETF | 7M | 39K | – |
| J P MORGAN EXCHANGE TRADED F | EQUITY PREMIUM | 206K | 4K | – |
| JPMORGAN CHASE & CO. | COM | 4M | 18K | – |
| LOCKHEED MARTIN CORP | COM | 1M | 2K | – |
| M/I HOMES INC | COM | 212K | 2K | – |
| MASTERCARD INCORPORATED | CL A | 427K | 969 | – |
| MCDONALDS CORP | COM | 300K | 1K | – |
| MEDTRONIC PLC | SHS | 741K | 9K | – |
| META PLATFORMS INC | CL A | 1M | 3K | – |
| MICRON TECHNOLOGY INC | COM | 620K | 5K | – |
| MICROSOFT CORP | COM | 5M | 11K | – |
| NETFLIX INC | COM | 2M | 3K | – |
| NEXTERA ENERGY INC | COM | 2M | 31K | – |
| NORTHROP GRUMMAN CORP | COM | 465K | 1K | – |
| NVIDIA CORPORATION | COM | 2M | 13K | – |
| PACER FDS TR | PACER US SMALL | 918K | 21K | – |
| PACER FDS TR | US CASH COWS 100 | 3M | 48K | – |
| PARKER-HANNIFIN CORP | COM | 298K | 589 | – |
| PEPSICO INC | COM | 3M | 20K | – |
| PROCTER AND GAMBLE CO | COM | 602K | 4K | – |
| PROGRESSIVE CORP | COM | 2M | 9K | – |
| REGENERON PHARMACEUTICALS | COM | 210K | 200 | – |
| RTX CORPORATION | COM | 3M | 26K | – |
| SALESFORCE INC | COM | 490K | 2K | – |
| SELECT SECTOR SPDR TR | SBI INT-UTILS | 1M | 16K | – |
| SERVICENOW INC | COM | 212K | 270 | – |
| SHERWIN WILLIAMS CO | COM | 569K | 2K | – |
| SPDR GOLD TR | GOLD SHS | 9M | 42K | – |
| SPDR S&P 500 ETF TR | TR UNIT | 7M | 13K | – |
| SPDR SER TR | PRTFLO S&P500 GW | 2M | 30K | – |
| STRYKER CORPORATION | COM | 237K | 697 | – |
| TELEDYNE TECHNOLOGIES INC | COM | 481K | 1K | – |
| THERMO FISHER SCIENTIFIC INC | COM | 1M | 3K | – |
| TJX COS INC NEW | COM | 2M | 22K | – |
| T-MOBILE US INC | COM | 537K | 3K | – |
| VANGUARD INDEX FDS | MID CAP ETF | 1M | 5K | – |
| VANGUARD TAX-MANAGED FDS | VAN FTSE DEV MKT | 245K | 5K | – |
| VANGUARD WORLD FD | CONSUM DIS ETF | 4M | 12K | – |
| VANGUARD WORLD FD | CONSUM STP ETF | 366K | 2K | – |
| VANGUARD WORLD FD | ENERGY ETF | 2M | 18K | – |
| VANGUARD WORLD FD | HEALTH CAR ETF | 5M | 17K | – |
| VANGUARD WORLD FD | INF TECH ETF | 2M | 4K | – |
| VERTEX PHARMACEUTICALS INC | COM | 234K | 499 | – |
| VISA INC | COM CL A | 2M | 7K | – |
| WABTEC | COM | 626K | 4K | – |
| WALMART INC | COM | 5M | 70K | – |
| ZOETIS INC | CL A | 2M | 10K | – |