Wealth manager, wrap-program sponsor · Bedford, NH
Northeast Planning Associates, Inc.
SEC-registered investment adviser · CRD 131406 · SEC 801-110475
At a glance
Northeast Planning Associates, Inc. is an SEC-registered investment adviser based in Bedford, New Hampshire, with $414 million in regulatory assets under management as of its Form ADV filed May 8, 2026. Its largest client group by assets is individuals, and it reports 959 individual clients. By Form ADV it is a wealth manager (wrap-program sponsor), ranked 3,379th of 8,915 wealth managers and 8,631st of 17,210 SEC-registered advisers by assets.
Main office 603-471-0900northeastplanning.comAs filed on Form ADV
- Regulatory AUM
- $414M
- Rank among wealth managers
- #3,379 of 8,915
- Rank among all SEC RIAs
- #8,631 of 17,210
- Rank in New Hampshire
- #29 of 78
- Individual clients
- 959
- High-net-worth clients
- 73
- Accounts
- 1,509
- Discretionary
- 100% of AUM
- Employees
- 129
- Advisory staff
- 69
- Offices
- 36
Owners and executives on its Form ADV
- Edward C. HiersFounder and Chief Executive Officer
- Benjamin J HiersPresident & COO
- Michael J. HartmanChief Compliance Officer
Custody and brokerage
2 custodians
- Tiaa-Cref Individual & Institutional Services$207M51%
- LPL Financial$202M49%
Other RIAs using Tiaa-Cref Individual & Institutional ServicesOther multi-custodian RIAs
Broker-dealer
Hybrid RIA
Northeast Planning Associates, Inc. is a hybrid RIA: 68 of its employees are also registered representatives of a broker-dealer.
Its Form ADV brochure (filed March 2026) names LPL Financial, an unaffiliated broker-dealer, as the broker-dealer its advisers are registered with.
IARs of NPA may also be registered representatives with LPL Financial LLC ("LPL Financial"), a securities broker-dealer, and a member of the Financial Industry Regulatory Authority (“FINRA”) and the Securities Investor Protection Corporatio
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Individuals | 886 | $342M | 82% |
| High-net-worth individuals | 73 | $72M | 18% |
Disciplinary disclosures
Northeast Planning Associates, Inc. reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Pension consulting
- Selecting other advisers
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗northeastplanning.com ↗
AtlasMembers
The full record on Northeast Planning Associates, Inc.
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 8 years of filings
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- Growth over one, three and five years
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- Rank against 5,948 peers of its type and size
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- Owners and executives, with titles and stakes
- 3 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Background
Questions
How much does Northeast Planning Associates, Inc. manage?
Northeast Planning Associates, Inc. reports $414 million in regulatory assets under management across 1,509 accounts, 100% of it on a discretionary basis, on its Form ADV filed May 8, 2026.
What kind of firm is Northeast Planning Associates, Inc.?
Northeast Planning Associates, Inc. is a wealth manager by its Form ADV answers. At least half of its regulatory assets are managed for individuals and high-net-worth individuals.
Who are Northeast Planning Associates, Inc.’s clients?
By assets, its largest client types are individuals ($342 million, 886 clients); high-net-worth individuals ($72 million, 73 clients).
Does Northeast Planning Associates, Inc. have any disciplinary history?
Northeast Planning Associates, Inc. reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Northeast Planning Associates, Inc.’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-05-08), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →