DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Registered advisor

Thomas Lee Harnish

Northeast Planning Associates, Inc.independent RIABedford, Nh dual registrantIAPD 4315606

Feed of 09/15/2026

Also filed as Tom Harnish

At current firm

9 y

since Nov 2, 2016

In the industry

18 y

since Jan 5, 2008 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Northeast Planning Associates, Inc. independent RIA current
since Nov 2, 2016 · Bedford, Nh
Mid Atlantic Financial Management, Inc. former
Apr 16, 2014 to Jul 31, 2017 · Bangor, Me
Voya Financial Advisors, Inc. BD affiliated
Jan 3, 2011 to Apr 17, 2014 · Bangor, Me
Voya Financial Partners, LLC former
Jan 7, 2008 to Jan 3, 2011 · Bangor, Me

Moves

a registration end followed by a registration begin elsewhere

Mid Atlantic Financial Management, Inc. to Northeast Planning Associates, Inc.
left Jul 31, 2017, registered Nov 2, 2016 (-271 days) · Other · moved with a team
Voya Financial Advisors, Inc. to Mid Atlantic Financial Management, Inc.
left Apr 17, 2014, registered Apr 16, 2014 (-1 days) · Other
Voya Financial Partners, LLC to Voya Financial Advisors, Inc.
left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move

Signals

No dated event on this person.

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Independent wealth managerderived
Years in industry: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address