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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

NORTHEAST PLANNING ASSOCIATES, INC.

CRD 131406

BEDFORD, NH

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:84cc8773-42e7-f680-fd11-1926fd9bc9d8

Data as of May 8, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:57 PM UTC and rebuilt at most every 15 minutes.

Relationships: 107
Dated events: 7
On other graphs: 0
Observed: Apr 17, 2017 to May 8, 2026
19 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: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=68.0
Regulatory AUM: $414MItem 5.F on the latest filing (2026-05-08); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $414M
Private client RAUM: $414MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 73
RAUM per advisor: $5.7Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 129
Advisory employees: 69
Offices: 35Schedule D 1.F, beyond the principal office
Accounts: 1,509
Individual clients: 886
High net worth clients: 73
SEC number: 801-110475
CIK: 1914515
CRD: 131406
Filings on the tape: 19
First filed: Apr 17, 2017
Latest filed: May 8, 2026
Organised: Corporation, NH
Website: paulhbrock.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first; showing 25 of 73

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
WALTER HERBERT AMMON	n/a	BEDFORD, NH	22	23	1	yes
MATTHEW HENRY EATON	n/a	BEDFORD, NH	22	46	2	yes
GARY WILLIAM PELLETIER	Chartered Financial Consultant	GOFFSTOWN, NH \| NASHUA, NH	22	43	2	yes
GEORGE KENNETH SLYMAN	Certified Financial Planner	NEW IPSWICH, NH \| BEDFORD, NH \| New Ipswich, NH \| PETERBOROUGH, NH \| HOOKSET, NH	22	40	2	yes
GARY FRANCIS WALLACE	n/a	BEDFORD, NH	22	38	2	yes
HENRY ERVING COOLEY	n/a	BEDFORD, NH \| MADBURY, NH	22	33	2	yes
EDWARD CHARLES HIERS	n/a	BEDFORD, NH	22	43	2	yes
PAUL MICHAEL GOYETTE	n/a	BEDFORD, NH	22	30	2	yes
MICHAEL FRANCIS ANTOSCA	n/a	BEDFORD, NH \| SALEM, NH	22	40	2	yes
WILLIAM VICTOR GIBBONS	Chartered Financial Consultant	MANCHESTER, NH \| BEDFORD, NH	22	38	2	yes
DON MATTHEW SILK	Certified Financial Planner\|Chartered Financial Consultant	NEWINGTON, NH \| ROCHESTER, NH \| BEDFORD, NH	22	37	2	yes
CHRISTIAN ALLEN BELIVEAU	n/a	DOVER, NH \| PORTSMOUTH, NH \| SOMERSWORTH, NH	22	32	2	yes
MICHAEL DREW LYNCH	n/a	BEDFORD, NH \| PITTSFIELD, ME	22	31	2	yes
STEVEN ALBERT DEAN	n/a	JAY, ME \| BEDFORD, NH \| MEXICO, ME \| MADISON, ME \| NORWAY, ME	22	33	2	yes
DAREN PHILLIP SEEKINS	n/a	BANGOR, ME \| TOPSHAM, ME \| BRUNSWICK, ME \| BREWER, ME \| BEDFORD, NH \| BIDDEFORD, ME	22	31	1	yes
DONALD ARTHUR BURNHAM	n/a	BEDFORD, NH	22	45	1	no
ZACHARY MILES LONGLEY	n/a	NEWBURYPORT, MA \| BEDFORD, NH	22	33	2	yes
MICHAEL JOHN HARTMAN	n/a	NORTHFIELD, NH \| BEDFORD, NH	21	33	2	yes
TIMOTHY JOHN BRISSON	Chartered Financial Consultant	BURLINGTON, VT \| BEDFORD, NH	21	37	2	yes
JOHN FRANCIS FRICKE	Chartered Financial Consultant	BEDFORD, NH \| JUPITER, FL \| NORTHFIELD, VT	21	36	2	yes
BETH ANNE PLENTZAS	n/a	BEDFORD, NH	21	32	n/a	yes
DOMINIC MARTIN LUCENTE	Certified Financial Planner	BEDFORD, NH \| NASHUA, NH \| MANCHESTER, NH	21	26	1	yes
JON PHILLIP HARRISON	n/a	BEDFORD, NH \| METHUEN, MA	20	28	1	yes
JAMES FRANCIS LEBLOND	n/a	SACO, ME \| BEDFORD, NH \| WESTBROOK, ME \| BIDDEFORD, ME	20	25	n/a	yes
PAUL EDWARD FITZPATRICK	n/a	GARDNER, MA \| BEDFORD, NH	20	40	n/a	yes

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
HIERS, BENJAMIN, J	PRESIDENT & COO	E	yes	02/2008	Apr 17, 2017	Mar 19, 2024
HIERS, EDWARD, CHARLES	FOUNDER AND CHIEF EXECUTIVE OFFICER	C	yes	08/1984	Apr 17, 2017	Mar 19, 2024
HARTMAN, MICHAEL, JOHN	CHIEF COMPLIANCE OFFICER	Na	no	01/2017	Apr 17, 2017	Mar 19, 2024

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Bedford	Nh	United States	16	no
Newburyport	Ma	United States	4	yes
Newington	Nh	United States	4	yes
Falmouth	Me	United States	3	yes
Portsmouth	Nh	United States	3	yes
Chandler	Az	United States	2	yes
Milford	Ma	United States	2	yes
Newburyport	Ma	United States	2	no
Bangor	Me	United States	2	yes
Bangor	Me	United States	2	yes
Hampden	Me	United States	2	yes
Madison	Me	United States	2	yes
Manchester	Nh	United States	2	yes
Canton	Ma	United States	1	yes
Fairhaven	Ma	United States	1	yes
Gardner	Ma	United States	1	no
Southborough	Ma	United States	1	yes
Waltham	Ma	United States	1	yes
Westfield	Ma	United States	1	yes
Woburn	Ma	United States	1	no
Yarmouth	Me	United States	1	yes
Manchester	Nh	United States	1	yes
Nashua	Nh	United States	1	yes
Portsmouth	Nh	United States	1	yes
Salem	Nh	United States	1	yes
n/a	n/a	n/a	1	no

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
2025	Mar 26, 2026	$414M	$414M	129	69	35	n/a	n/a
2024	Mar 31, 2025	$328M	$327M	131	63	32	n/a	n/a
2023	Mar 19, 2024	$301M	$301M	122	67	32	n/a	n/a
2022	Mar 31, 2023	$256M	$255M	126	69	32	n/a	n/a
2021	Mar 28, 2022	$285M	$285M	125	66	32	n/a	n/a
2020	Mar 29, 2021	$224M	$224M	121	68	32	n/a	n/a
2019	Mar 30, 2020	$234M	$221M	121	67	33	n/a	n/a
2018	Mar 21, 2019	$211M	$200M	128	128	34	n/a	n/a
2017	Mar 28, 2018	$247M	$188M	122	122	34	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	2	-2	2.7%	0	1	0	1	3

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
2025	$414M	$328M	26.3%	$256M	17.4%	129	131	35	32

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
LPL FINANCIAL LLC	7	Apr 4, 2017	Aug 14, 2007	BEDFORD, NH	Team lift out	Other	11.7%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
MID ATLANTIC FINANCIAL MANAGEMENT, INC.	2	Jul 31, 2017	Nov 3, 2016	BANGOR, ME	Team lift out	Other	2.5%

Relationships

showing 80 of 107

Registered with (77)

← JAMES R WALLACEAdvisorregistration: current employment
Aug 24, 2026 to presentfactForm ADV
← BRENDAN MICHAEL BEGLEYAdvisorregistration: current employment
Jun 2, 2026 to presentfactForm ADV
← JAMES V ANZAAdvisorregistration: current employment
May 28, 2026 to presentfactForm ADV
← ZACHARY Steven GOLUBAdvisorregistration: current employment
May 19, 2026 to presentfactForm ADV
← RYAN THOMAS LEVASSEURAdvisorregistration: current employment
Mar 19, 2026 to presentfactForm ADV
← JARED BRANT KOELKERAdvisorregistration: current employment
Mar 16, 2026 to presentfactForm ADV
← William Ryan Barbieri ReisAdvisorregistration: current employment
Dec 19, 2025 to presentfactForm ADV
← PAUL M ACCARDIAdvisorregistration: current employment
Nov 13, 2025 to presentfactForm ADV
← Dylan M BurlingAdvisorregistration: current employment
Oct 8, 2025 to presentfactForm ADV
← SARAH WHALEY DRAKEAdvisorregistration: current employment
Sep 24, 2025 to presentfactForm ADV
← PETER CHARLES YERGERAdvisorregistration: current employment
Jul 11, 2025 to presentfactForm ADV
← Mark Giffin MorrisonAdvisorregistration: current employment
Jul 11, 2025 to presentfactForm ADV
← PAUL EDWARD FITZPATRICKAdvisorregistration: current employment
Dec 6, 2023 to presentfactForm ADV
← JAMES BRIAN REYNOLDSAdvisorregistration: current employment
Aug 26, 2022 to presentfactForm ADV
← MICHAEL DAVID WOODMANAdvisorregistration: current employment
Jun 16, 2022 to presentfactForm ADV
← STEPHEN BROOKMAN GUYAdvisorregistration: current employment
Aug 31, 2021 to presentfactForm ADV
← Zachary D SilkAdvisorregistration: current employment
Jan 21, 2021 to presentfactForm ADV
← PAUL TAMAGNIAdvisorregistration: current employment
Mar 31, 2020 to presentfactForm ADV
← CONNOR ALLEN WOODS BRISSONAdvisorregistration: current employment
Mar 17, 2020 to presentfactForm ADV
← KATHLEEN EILEEN SWEENEYAdvisorregistration: current employment
Feb 4, 2020 to presentfactForm ADV
← JOHN FOREST RYDERAdvisorregistration: current employment
Jun 26, 2019 to presentfactForm ADV
← CALEB JAMES KIRBYAdvisorregistration: current employment
Apr 4, 2019 to presentfactForm ADV
← KEVIN MICHAEL CROWLEYAdvisorregistration: current employment
Mar 29, 2019 to presentfactForm ADV
← JOSHUA GREGORY RENTAdvisorregistration: current employment
May 30, 2018 to presentfactForm ADV
← JOHN FRANCIS TILTONAdvisorregistration: current employment
Oct 16, 2017 to presentfactForm ADV
← PAUL HARRIS BROCKAdvisorregistration: current employment
Jul 5, 2017 to presentfactForm ADV
← RANDALL NORMAN DEANAdvisorregistration: current employment
Dec 14, 2016 to presentfactForm ADV
← CRAIG ALAN GROVERAdvisorregistration: current employment
Nov 3, 2016 to presentfactForm ADV
← THOMAS LEE HARNISHAdvisorregistration: current employment
Nov 2, 2016 to presentfactForm ADV
← CAITLIN ALIZA HARRISONAdvisorregistration: current employment
Jul 20, 2016 to presentfactForm ADV
and 47 more

Owns (1)

← HARTMAN, MICHAEL, JOHNOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Apr 17, 2017 to Mar 19, 2024factForm ADV

Controls (2)

← HIERS, EDWARD, CHARLESOwnerFOUNDER AND CHIEF EXECUTIVE OFFICER, ownership code C, individual
Apr 17, 2017 to Mar 19, 2024factForm ADV
← HIERS, BENJAMIN, JOwnerPRESIDENT & COO, ownership code E, individual
Apr 17, 2017 to Mar 19, 2024factForm ADV

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Jun 30, 2026
Advisor changed firm
John Vincent Caggiano left Northeast Planning Associates, Inc. for The Ameriflex Group (registered 2026-06-22)
Form ADVobserved 6 days ago
Occurred
Feb 19, 2026
Advisor changed firm
Nathaniel Benjamin Hahn left Northeast Planning Associates, Inc. for Brown, Lisle/Cummings, Inc (registered 2026-02-17)
Form ADVobserved 6 days ago
Occurred
Jul 12, 2024
Advisor changed firm
Christopher Paul Mara left Northeast Planning Associates, Inc. for Lpl Financial Llc (registered 2022-07-07)
Form ADVobserved 6 days ago
Occurred
May 5, 2023
Advisor changed firm
Ryan Francis Callahan left Northeast Planning Associates, Inc. for Ameriprise Financial Services, Llc (registered 2023-05-05)
Form ADVobserved 6 days ago
Occurred
Mar 28, 2018
Regulatory AUM changed
Northeast Planning Associates, Inc. reported RAUM $247.3M, up 94% from $127.7M (2017-07-03 to 2018-03-28)
Form ADVobserved 6 days ago
$120M
Occurred
Apr 17, 2017
First Form ADV filing
Northeast Planning Associates, Inc. filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Show 1 bookkeeping events

Occurred
Mar 28, 2018
Northeast Planning Associates, Inc. reported 64 state-registered advisory representatives, down from 91 (2017-07-03 to 2018-03-28)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:84cc8773-42e7-f680-fd11-1926fd9bc9d8
First observed: Apr 17, 2017
Last observed: May 8, 2026 4 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 PLANNING ASSOCIATES, INC.

CRD 131406

BEDFORD, NH

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:84cc8773-42e7-f680-fd11-1926fd9bc9d8

Data as of May 8, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:57 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

WALTER HERBERT AMMON

n/a

BEDFORD, NH

yes

MATTHEW HENRY EATON

n/a

BEDFORD, NH

yes

GARY WILLIAM PELLETIER

Chartered Financial Consultant

GOFFSTOWN, NH | NASHUA, NH

yes

GEORGE KENNETH SLYMAN

Certified Financial Planner

NEW IPSWICH, NH | BEDFORD, NH | New Ipswich, NH | PETERBOROUGH, NH | HOOKSET, NH

yes

GARY FRANCIS WALLACE

n/a

BEDFORD, NH

yes

HENRY ERVING COOLEY

n/a

BEDFORD, NH | MADBURY, NH

yes

EDWARD CHARLES HIERS

n/a

BEDFORD, NH

yes

PAUL MICHAEL GOYETTE

n/a

BEDFORD, NH

yes

MICHAEL FRANCIS ANTOSCA

n/a

BEDFORD, NH | SALEM, NH

yes

WILLIAM VICTOR GIBBONS

Chartered Financial Consultant

MANCHESTER, NH | BEDFORD, NH

yes

DON MATTHEW SILK

Certified Financial Planner|Chartered Financial Consultant

NEWINGTON, NH | ROCHESTER, NH | BEDFORD, NH

yes

CHRISTIAN ALLEN BELIVEAU

n/a

DOVER, NH | PORTSMOUTH, NH | SOMERSWORTH, NH

yes

MICHAEL DREW LYNCH

n/a

BEDFORD, NH | PITTSFIELD, ME

yes

STEVEN ALBERT DEAN

n/a

JAY, ME | BEDFORD, NH | MEXICO, ME | MADISON, ME | NORWAY, ME

yes

DAREN PHILLIP SEEKINS

n/a

yes

DONALD ARTHUR BURNHAM

n/a

BEDFORD, NH

ZACHARY MILES LONGLEY

n/a

NEWBURYPORT, MA | BEDFORD, NH

yes

MICHAEL JOHN HARTMAN

n/a

NORTHFIELD, NH | BEDFORD, NH

yes

TIMOTHY JOHN BRISSON

Chartered Financial Consultant

BURLINGTON, VT | BEDFORD, NH

yes

JOHN FRANCIS FRICKE

Chartered Financial Consultant

BEDFORD, NH | JUPITER, FL | NORTHFIELD, VT

yes

BETH ANNE PLENTZAS

n/a

BEDFORD, NH

n/a

yes

DOMINIC MARTIN LUCENTE

Certified Financial Planner

BEDFORD, NH | NASHUA, NH | MANCHESTER, NH

yes

JON PHILLIP HARRISON

n/a

BEDFORD, NH | METHUEN, MA

yes

JAMES FRANCIS LEBLOND

n/a

SACO, ME | BEDFORD, NH | WESTBROOK, ME | BIDDEFORD, ME

n/a

yes

PAUL EDWARD FITZPATRICK

n/a

GARDNER, MA | BEDFORD, NH

n/a

yes

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

HIERS, BENJAMIN, J

PRESIDENT & COO

yes

02/2008

Apr 17, 2017

Mar 19, 2024

HIERS, EDWARD, CHARLES

FOUNDER AND CHIEF EXECUTIVE OFFICER

yes

08/1984

Apr 17, 2017

Mar 19, 2024

HARTMAN, MICHAEL, JOHN

CHIEF COMPLIANCE OFFICER

01/2017

Apr 17, 2017

Mar 19, 2024

City

State

Country

Employees

Also broker-dealer

Bedford

United States

Newburyport

United States

yes

Newington

United States

yes

Falmouth

United States

yes

Portsmouth

United States

yes

Chandler

United States

yes

Milford

United States

yes

Newburyport

United States

Bangor

United States

yes

Bangor

United States

yes

Hampden

United States

yes

Madison

United States

yes

Manchester

United States

yes

Canton

United States

yes

Fairhaven

United States

yes

Gardner

United States

Southborough

United States

yes

Waltham

United States

yes

Westfield

United States

yes

Woburn

United States

Yarmouth

United States

yes

Manchester

United States

yes

Nashua

United States

yes

Portsmouth

United States

yes

Salem

United States

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 26, 2026

$414M

129

n/a

2024

Mar 31, 2025

$328M

$327M

131

n/a

2023

Mar 19, 2024

$301M

122

n/a

2022

Mar 31, 2023

$256M

$255M

126

n/a

2021

Mar 28, 2022

$285M

125

n/a

2020

Mar 29, 2021

$224M

121

n/a

2019

Mar 30, 2020

$234M

$221M

121

n/a

2018

Mar 21, 2019

$211M

$200M

128

n/a

2017

Mar 28, 2018

$247M

$188M

122

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

-2

2.7%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$414M

$328M

26.3%

$256M

17.4%

129

131

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

LPL FINANCIAL LLC

Apr 4, 2017

Aug 14, 2007

BEDFORD, NH

Team lift out

Other

11.7%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

MID ATLANTIC FINANCIAL MANAGEMENT, INC.

Jul 31, 2017

Nov 3, 2016

BANGOR, ME

Team lift out

Other

2.5%