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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

NORTHEAST MANAGEMENT & RESEARCH CO., INC.

CRD 108214

BOSTON, MA

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:4e230a44-22e9-bf77-5323-167e1187c91c

Data as of Jun 5, 2017 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:34 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Feb 7, 2012 to Jun 5, 2017
8 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: $52.0MItem 5.F on the latest filing (2017-06-05); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $52.0M
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: 6
Advisory employees: 4
Accounts: 1
SEC number: 801-15415
CRD: 108214
Filings on the tape: 8
First filed: Feb 7, 2012
Latest filed: Jun 5, 2017
Organised: Corporation, Massachusetts

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
ELIZABETH M. OATES	TRUSTEE FOR ESTATE OF WILLIAM A. OATES, JR.	Na	yes	04/2017	Jun 5, 2017	Jun 5, 2017
ESTATE OF WILLIAM A. OATES, JR.	Owner	E	yes	02/2017	Mar 2, 2017	Jun 5, 2017
FRANCINI, JOHN, FRANK	VICE PRESIDENT, DIRECTOR	Na	yes	11/2008	Feb 7, 2012	Jun 5, 2017
MANOOGIAN, RICHARD, GEORGE	CHIEF COMPLIANCE OFFICER	Na	yes	03/2012	Apr 24, 2012	Jun 5, 2017
MULLIGAN, NANCY, MARIE	PRESIDENT, DIRECTOR	Na	yes	02/2017	Feb 7, 2012	Jun 5, 2017

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
NORTHEAST INVESTMENT MANAGEMENT INC	n/a	Independent wealth	$3.3B	N	yes	n/a

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
2016	Mar 2, 2017	$52.0M	$52.0M	6	4	n/a	n/a	n/a
2015	Mar 10, 2016	$57.6M	$57.6M	7	5	n/a	n/a	n/a
2014	Feb 5, 2015	$66.0M	$66.0M	7	5	n/a	n/a	n/a
2013	Jan 17, 2014	$76.1M	$76.1M	7	5	n/a	n/a	n/a
2012	Jan 25, 2013	$73.1M	$73.1M	5	4	n/a	n/a	n/a
2011	Feb 7, 2012	$76.2M	$76.2M	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
2016	$52.0M	$57.6M	-9.8%	$76.1M	-11.9%	6	7	n/a	n/a

Relationships

Affiliated with (1)

→ NORTHEAST INVESTMENT MANAGEMENT INCRegistered adviserother investment adviser, common control
factForm ADV

Controls (5)

← FRANCINI, JOHN, FRANKOwnerVICE PRESIDENT, DIRECTOR, ownership code NA, individual
Feb 7, 2012 to presentfactForm ADV
← MULLIGAN, NANCY, MARIEOwnerPRESIDENT, DIRECTOR, ownership code NA, individual
Feb 7, 2012 to presentfactForm ADV
← MANOOGIAN, RICHARD, GEORGEOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Apr 24, 2012 to presentfactForm ADV
← ELIZABETH M. OATESOwnerTRUSTEE FOR ESTATE OF WILLIAM A. OATES, JR., ownership code NA, domestic entity
Jun 5, 2017 to presentfactForm ADV
← ESTATE OF WILLIAM A. OATES, JR.OwnerOWNER, ownership code E, domestic entity
Mar 2, 2017 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4e230a44-22e9-bf77-5323-167e1187c91c
First observed: Feb 7, 2012
Last observed: Jun 5, 2017 113 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.

NORTHEAST MANAGEMENT & RESEARCH CO., INC.

CRD 108214

BOSTON, MA

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:4e230a44-22e9-bf77-5323-167e1187c91c

Data as of Jun 5, 2017 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:34 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ELIZABETH M. OATES

TRUSTEE FOR ESTATE OF WILLIAM A. OATES, JR.

yes

04/2017

Jun 5, 2017

ESTATE OF WILLIAM A. OATES, JR.

Owner

yes

02/2017

Mar 2, 2017

Jun 5, 2017

FRANCINI, JOHN, FRANK

VICE PRESIDENT, DIRECTOR

yes

11/2008

Feb 7, 2012

Jun 5, 2017

MANOOGIAN, RICHARD, GEORGE

CHIEF COMPLIANCE OFFICER

yes

03/2012

Apr 24, 2012

Jun 5, 2017

MULLIGAN, NANCY, MARIE

PRESIDENT, DIRECTOR

yes

02/2017

Feb 7, 2012

Jun 5, 2017

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

NORTHEAST INVESTMENT MANAGEMENT INC

n/a

Independent wealth

$3.3B

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2016

Mar 2, 2017

$52.0M

n/a

2015

Mar 10, 2016

$57.6M

n/a

2014

Feb 5, 2015

$66.0M

n/a

2013

Jan 17, 2014

$76.1M

n/a

2012

Jan 25, 2013

$73.1M

n/a

2011

Feb 7, 2012

$76.2M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2016

$52.0M

$57.6M

-9.8%

$76.1M

-11.9%

n/a