NORTHEAST ADVISERS, INC.
NORTHEAST ADVISERS INC Legal Name
Adviser information for NORTHEAST ADVISERS, INC. last updated from Form ADV on March 25th, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Pennsylvania, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 4 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 5 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 0 | $0 |
| Non-Discretionary | 353 | $517.1M |
| Total | 353 | $517.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 203 | $74.0M |
| HNW Individuals | 105 | $257.9M |
| 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 | 42 | $155.8M |
| Charitable organizations | <5 | $29.3M |
| 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 | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| 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 clientsSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-57720 |
|---|---|
| SEC ERA File Number | 801-57720 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 108835 |
| Legal Entity Identifier | None |
Principal Office
163 W. LANCASTER AVEPAOLI
PA
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: 610-240-7955, Fax: 610-240-7956
Websites
Chief Compliance Officer
REBECCA PROETTO,CPA, CFP�
163 W. LANCASTER AVENUE
PAOLI
PA
United States
Tel:
610-240-7955
Fax:
610-240-7956
A*****@********************M
(Full email address available in API data)
Regulatory Contact
J. MICHAEL DEVINE
PRESIDENT
163 W. LANCASTER AVENUE
PAOLI
PA
United States
Tel:
610-240-7955
Fax:
610-240-7956
A*****@********************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 |
|---|---|---|---|---|---|
| DEVINE, JOHN, MICHAEL | Individual | – | PRESIDENT | 06/2000 | > 75% |
| CUMMINGS, REBECCA | Individual | – | CHIEF COMPLIANCE OFFICER | 07/2015 | 10-25% |
| BLEILER, ERIC, J | Individual | – | INVESTMENT ADVISORY REPRESENTATIVE | 01/2010 | 10-25% |