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.

Former SEC-registered adviser

Northeast Asset Management LLC

Former SEC-registered adviserMiami, FloridaCRD 117567SEC 801-71727IAPD
Latest filing Mar 6, 2019
First filing on the tape Mar 28, 2012 · 30 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
0
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$129M as of Mar 29, 2018
Mar 28, 2012$154M then
HNW client RAUM: $26.5M
State-registered IARs (5.B.3)0 as of Mar 6, 2019
Mar 28, 20120 then
Employees (5.A)0 as of Mar 6, 2019
Mar 13, 201332 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 12 to 0
Practice profile
derived from the filing of Mar 6, 2019; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
-100%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
otherreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Edward Paul Duffy · Presidentcontrol
      since 08/2017 · owns less than 5%
    • Eugene Harold Stice · Chief Compliance Officer & Chief Financial Officercontrol
      since 08/2017 · owns less than 5%
    • Raul Henriquez · Trusteecontrol
      since 10/2011 · owns 75% or more of Raul Henriquez Revocable Trust
    • Raul Henriquez · Co-Trusteecontrol
      since 10/2011 · owns 25% to 50% of Rh Family Trust
    • Roxana Sara Silva Henriquez · Co-Trusteecontrol
      since 10/2011 · owns 75% or more of Rh Family Trust
    Entity owners
    • Northeast Securities, Inc. · Holding Company
      direct · owns 75% or more
    • Insigneo Financial Group, LLC · Member
      indirect · owns 25% to 50% of Northeast Gis Holdings, Inc.
    • Insigneo Financial Services, LLC · Shareholder
      indirect · owns 75% or more of Northeast Securities, Inc.
    • Northeast Gis Holdings, Inc. · Member
      indirect · owns 25% to 50% of Insigneo Financial Services, LLC
    • R. Henriquez Holdings, LLC · Member
      indirect · owns 75% or more of Northeast Gis Holdings, Inc.
    • Raul Henriquez Revocable Trust · Member
      indirect · owns 75% or more of R. Henriquez Holdings, LLC
    • Rh Family Trust · Member
      indirect · owns 25% to 50% of R. Henriquez Holdings, LLC
    Related persons
    Schedule D 7.A
    Advisers that list Northeast Asset Management LLC as a related person
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • BD registered reps · 1 to 0
      Dec 26, 2018 to Mar 6, 2019
    • Employees · 1 to 0
      Dec 26, 2018 to Mar 6, 2019
    • HQ city · MITCHEL FIELD to MIAMI
      Dec 26, 2018 to Mar 6, 2019
    • HQ state · NY to FL
      Dec 26, 2018 to Mar 6, 2019
    • Related broker-dealer · true to false
      Dec 26, 2018 to Mar 6, 2019
    • Accounts · 450.0 to unset
      Jul 2, 2018 to Dec 26, 2018
    • Advisory employees · 11 to 0
      Jul 2, 2018 to Dec 26, 2018
    • Advisory activities · 3 to 1
      Jul 2, 2018 to Dec 26, 2018
    • BD registered reps · 13 to 1
      Jul 2, 2018 to Dec 26, 2018
    • HNW clients · 17.0 to unset
      Jul 2, 2018 to Dec 26, 2018
    • Individual clients · 433.0 to unset
      Jul 2, 2018 to Dec 26, 2018
    • Employees · 14 to 1
      Jul 2, 2018 to Dec 26, 2018
    • Financial planning clients · 1-10 to unset
      Jul 2, 2018 to Dec 26, 2018
    • State-registered IARs · 12 to 0
      Jul 2, 2018 to Dec 26, 2018
    • Discretionary RAUM · 68290000.0 to unset
      Jul 2, 2018 to Dec 26, 2018
    • HNW RAUM · 26474000.0 to unset
      Jul 2, 2018 to Dec 26, 2018
    • Individual RAUM · 102293000.0 to unset
      Jul 2, 2018 to Dec 26, 2018
    • Non-discretionary RAUM · 60477000.0 to unset
      Jul 2, 2018 to Dec 26, 2018
    • RAUM · 128767000.0 to unset
      Jul 2, 2018 to Dec 26, 2018
    • Wrap assets (manager) · 0.0 to unset
      Jul 2, 2018 to Dec 26, 2018
    • Wrap assets (sponsor) · 68290000.0 to unset
      Jul 2, 2018 to Dec 26, 2018
    • Succession · true to false
      May 14, 2018 to Jul 2, 2018
    • Business name · NORTHEAST ASSET MANAGEMENT, INC. to NORTHEAST ASSET MANAGEMENT LLC
      Mar 29, 2018 to May 14, 2018
    • Legal name · NORTHEAST ASSET MANAGEMENT, INC. to NORTHEAST ASSET MANAGEMENT LLC
      Mar 29, 2018 to May 14, 2018
    • Accounts · 480 to 450
      Feb 9, 2018 to Mar 29, 2018
    • Advisory employees · 31 to 11
      Feb 9, 2018 to Mar 29, 2018
    • BD registered reps · 31 to 13
      Feb 9, 2018 to Mar 29, 2018
    • HNW clients · unset to 17.0
      Feb 9, 2018 to Mar 29, 2018
    • Individual clients · unset to 433.0
      Feb 9, 2018 to Mar 29, 2018
    • Employees · 34 to 14
      Feb 9, 2018 to Mar 29, 2018
    • State-registered IARs · 31 to 12
      Feb 9, 2018 to Mar 29, 2018
    • Organization form · Corporation to Limited Liability Company
      Feb 9, 2018 to Mar 29, 2018
    • Discretionary RAUM · $62.1M to $68.3M
      Feb 9, 2018 to Mar 29, 2018
    • HNW RAUM · unset to 26474000.0
      Feb 9, 2018 to Mar 29, 2018
    • Individual RAUM · unset to 102293000.0
      Feb 9, 2018 to Mar 29, 2018
    • Non-discretionary RAUM · $48.2M to $60.5M
      Feb 9, 2018 to Mar 29, 2018
    • RAUM · $110M to $129M
      Feb 9, 2018 to Mar 29, 2018
    • Succession · false to true
      Feb 9, 2018 to Mar 29, 2018
    • Wrap assets (manager) · unset to 0.0
      Feb 9, 2018 to Mar 29, 2018
    • Wrap assets (sponsor) · unset to 68290000.0
      Feb 9, 2018 to Mar 29, 2018
    Signals
    3 dated events
    • Northeast Asset Management Llc reported 0 state-registered advisory representatives, down from 12 (2018-07-02 to 2018-12-26)
      Dec 26, 2018 · Advisor headcount change · derived
    • Northeast Asset Management, Inc. reported succeeding to the business of Another Adviser (Form ADV Item 4)
      Mar 29, 2018 · Succession (Item 4) · fact
    • Northeast Asset Management Llc reported 12 state-registered advisory representatives, down from 31 (2018-02-09 to 2018-03-29)
      Mar 29, 2018 · Advisor headcount change · derived
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    Provenance
    Form ADV
    SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
    Advisors
    IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
    Class
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026