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.
SEC-registered adviser
Northeast Planning Associates, Inc.
Latest filing May 8, 2026
First filing on the tape Apr 17, 2017 · 19 filings
SEC status approved since Apr 28, 2017
RAUM
$414M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$414M individuals and HNW
Advisors
73
registered through the firm on IAPD
RAUM per advisor
$5.7M
derived; firm RAUM over IAPD count
Employees
129
69 advisory (5.B.1)
Offices
35
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$414M as of May 8, 2026
Mar 28, 2018$247M then
HNW client RAUM$72.5M as of May 8, 2026
Mar 28, 2018$49.5M then
State-registered IARs (5.B.3)69 as of May 8, 2026
Mar 28, 201864 then
Employees (5.A)129 as of May 8, 2026
Mar 28, 2018122 then
Private funds: no history
RAUM +26% over the last fiscal year+17% a year over threeIARs 63 to 69offices 32 to 35
Practice profile
derived from the filing of May 8, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Multi-office growth platform · an independent wealth manager (not a wirehouse, national broker-dealer RIA or broker-dealer affiliated firm) with at least five offices, at least 50 advisors, and RAUM up at least 20 percent over the last annual amendment
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $5.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 13derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $992,613derivedHNW RAUM over HNW clients
- Average account
- $274,352derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 2.0derived36 offices incl. principal (1.F.5)
- RAUM growth, one year
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- +9.5%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -16%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $414MreportedItem 5.I
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is an insurance broker or agent (6.A.6)
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$342M82%
- High-net-worth individuals$72.5M18%
- Individual clients
- 886reported
- HNW clients
- 73reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,509reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=68.0derived
Advisors registered through the firm
73 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Walter Herbert Ammon | Bedford, Nh | May 20, 2004 | 23 y | 1 |
| Henry Erving Cooley | Bedford, Nh | Jul 22, 2004 | 33 y | 2 |
| Gary Francis Wallace | Bedford, Nh | Jul 22, 2004 | 38 y | 2 |
| George Kenneth SlymanCertified Financial Planner | New Ipswich, Nh | Jul 22, 2004 | 40 y | 2 |
| Edward Charles Hiers | Bedford, Nh | Jul 22, 2004 | 43 y | 2 |
| Gary William PelletierChartered Financial Consultant | Goffstown, Nh | Jul 22, 2004 | 43 y | 2 |
| Matthew Henry Eaton | Bedford, Nh | Jul 22, 2004 | 46 y | 2 |
| Paul Michael Goyette | Bedford, Nh | Jul 22, 2004 | 30 y | 2 |
| Don Matthew SilkCertified Financial Planner, Chartered Financial Consultant | Newington, Nh | Jul 23, 2004 | 37 y | 2 |
| William Victor GibbonsChartered Financial Consultant | Manchester, Nh | Jul 23, 2004 | 38 y | 2 |
| Michael Francis Antosca | Bedford, Nh | Jul 23, 2004 | 40 y | 2 |
| Christian Allen Beliveau | Dover, Nh | Jul 23, 2004 | 32 y | 2 |
| Steven Albert Dean | Jay, Me | Jul 27, 2004 | 33 y | 2 |
| Michael Drew Lynch | Pittsfield, Me | Jul 27, 2004 | 31 y | 2 |
| Daren Phillip Seekins | Bangor, Me | Jul 28, 2004 | 31 y | 1 |
| Donald Arthur Burnham | Bedford, Nh | Jul 29, 2004 | 45 y | 1 |
| Zachary Miles Longley | Newburyport, Ma | Aug 19, 2004 | 33 y | 2 |
| Michael John Hartman | Northfield, Nh | Nov 18, 2004 | 33 y | 2 |
| John Francis FrickeChartered Financial Consultant | Bedford, Nh | Nov 24, 2004 | 36 y | 2 |
| Timothy John BrissonChartered Financial Consultant | Burlington, Vt | Nov 24, 2004 | 37 y | 2 |
| Beth Anne Plentzas | Bedford, Nh | May 27, 2005 | 32 y | 0 |
| Dominic Martin LucenteCertified Financial Planner | Bedford, Nh | Aug 22, 2005 | 26 y | 1 |
| Jon Phillip Harrison | Bedford, Nh | Jan 11, 2006 | 28 y | 1 |
| James Francis Leblond | Saco, Me | Mar 3, 2006 | 25 y | 0 |
| Paul Edward Fitzpatrick | Gardner, Ma | May 3, 2006 | 40 y | 0 |
| Brian William Heffernan | Salem, Nh | May 18, 2006 | 24 y | 2 |
| Paul Harris BrockChartered Financial Consultant | Bedford, Nh | Jul 27, 2007 | 39 y | 4 |
| John Brendan Castelot | Fairhaven, Ma | Jul 27, 2007 | 33 y | 3 |
| James Brian Reynolds | Rutland, Vt | Sep 4, 2007 | 39 y | 1 |
| Paul M Accardi | Newburyport, Ma | Sep 17, 2007 | 33 y | 3 |
| Kevin Michael CrowleyCertified Financial Planner | Bedford, Nh | Feb 1, 2008 | 28 y | 3 |
| Benjamin J Hiers | Bedford, Nh | Feb 21, 2008 | 18 y | 0 |
| Alexandre Miguel Oliveira | Waltham, Ma | Jul 7, 2008 | 21 y | 0 |
| James Timothy Ayers | Manchester, Nh | Jan 20, 2009 | 18 y | 0 |
| Zachary Farley Longley | Augusta, Me | Feb 23, 2009 | 17 y | 1 |
| Robert Kratzer Everett | Bedford, Nh | Jul 27, 2010 | 23 y | 0 |
| Caitlin Aliza Harrison | Bedford, Nh | Nov 4, 2010 | 18 y | 0 |
| Mark Jeffrey PorterCertified Financial Planner | Canton, Ma | Aug 24, 2011 | 21 y | 0 |
| Corey Alan Scrupps | Bedford, Nh | Sep 20, 2011 | 28 y | 0 |
| Richard Domenick Capannola | Bedford, Nh | Apr 24, 2012 | 19 y | 1 |
Advisor movement
2 left, 0 joined in 12 months
net -2 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 2.7% of current headcount3 left over 36 months
Left, latest
- John Vincent Caggiano to The Ameriflex GroupJun 30, 2026 · RIA to affiliated broker-dealer or bank
- Nathaniel Benjamin Hahn to Brown, Lisle/Cummings, IncFeb 19, 2026 · RIA to RIA
- Christopher Paul Mara to LPL Financial LLCJul 12, 2024 · RIA to RIA
- Ryan Francis Callahan to Ameriprise Financial Services, LLCMay 5, 2023 · RIA to affiliated broker-dealer or bank
- James Theocharis Dimos to Advisory Resource Group, LLCFeb 18, 2020 · RIA to a state-registered adviser
- Andrew Thomas Nigrelli to Cwm, LLCNov 6, 2019 · RIA to affiliated broker-dealer or bank
- James R Wallace to Fidelity Personal And Workplace AdvisorsSep 11, 2019 · RIA to affiliated broker-dealer or bank
- Philip Lennox to Capital AnalystsSep 18, 2017 · Other
- Thomas Joseph Pare to LPL Financial LLCApr 4, 2017 · Other
- Brian Stephen Berry to LPL Financial LLCApr 4, 2017 · Other
- Michael John Murphy to LPL Financial LLCApr 4, 2017 · Other
- Paul M Accardi to LPL Financial LLCApr 4, 2017 · Other
- Ellen Mary Lavin to LPL Financial LLCApr 4, 2017 · Other
- Gerry S Weidema to LPL Financial LLCApr 4, 2017 · Other
- Kevin Joseph Ferland to LPL Financial LLCApr 4, 2017 · Other
Joined, latest
- Peter Charles Yerger from Pegasus Management Services L.L.C.Jul 11, 2025 · Other
- Christopher Paul Mara from Osaic Institutions, Inc.Mar 8, 2022 · Affiliated broker-dealer or bank to independent RIA
- Nathaniel Benjamin Hahn from LPL Financial LLCMar 31, 2020 · Affiliated broker-dealer or bank to independent RIA
- Kevin Michael Crowley from Flatiron Financial Group, LLCMar 29, 2019 · Other
- Ryan Francis Callahan from LPL Financial LLCDec 21, 2018 · Affiliated broker-dealer or bank to independent RIA
- James Theocharis Dimos from MML Investors Services, LLCOct 16, 2017 · Other
- Craig Alan Grover from Mid Atlantic Financial Management, Inc.Nov 3, 2016 · Other
- Thomas Lee Harnish from Mid Atlantic Financial Management, Inc.Nov 2, 2016 · Other
- Philip Lennox from LPL Financial LLCJun 30, 2016 · Other
- Andrew Reid from LPL Financial LLCJun 7, 2016 · Other
- James R Wallace from LPL Financial LLCJan 14, 2015 · Other
- Dana Seth Preis from MML Investors Services, LLCMar 11, 2013 · Other
- Andrew Thomas Nigrelli from Pegaesus Advisors, Inc.Aug 1, 2012 · Other
- Thomas Russell Burbank from LPL Financial LLCMar 19, 2010 · Other
- Charles Clinton Leonard from LPL Financial LLCJan 29, 2009 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 7 left for LPL Financial LLCApr 4, 2017 · Bedford, Nh
- 2 joined from Mid Atlantic Financial Management, Inc.Jul 31, 2017 · Bangor, Me
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J Benjamin Hiers · President & Coocontrolsince 02/2008 · owns 75% or more
- Charles Edward Hiers · Founder And Chief Executive Officercontrolsince 08/1984 · owns 25% to 50%
- John Michael Hartman · Chief Compliance Officersince 01/2017 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Bedford, Nh · principal | 70 | 10 | 2 | ||
| Newburyport, Ma | 6 | 3 | 0 | ||
| Bangor, Me | 4 | 0 | 0 | ||
| Dover, Nh | 3 | 2 | 0 | ||
| Manchester, Nh | 3 | 0 | 0 | ||
| Portsmouth, Nh | 3 | 0 | 0 | ||
| Newington, Nh | 3 | 0 | 0 | ||
| Burlington, Vt | 3 | 0 | 0 | ||
| Canton, Ma | 2 | 1 | 0 | ||
| Enfield, Ct | 2 | 2 | 0 | ||
| Fairhaven, Ma | 2 | 1 | 0 | ||
| Madison, Me | 2 | 0 | 0 | ||
| North Reading, Ma | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Bedford, NH16 employees
- Newburyport, MA4 employees
- Newington, NH4 employees
- Falmouth, ME3 employees
- Portsmouth, NH3 employees
- Manchester, NH2 employees
- Chandler, AZ2 employees
- Milford, MA2 employees
- Bangor, ME2 employees
- Newburyport, MA2 employees
- Bangor, ME2 employees
- Hampden, ME2 employees
- Madison, ME2 employees
- , 1 employees
- Canton, MA1 employees
- Fairhaven, MA1 employees
- Gardner, MA1 employees
- Manchester, NH1 employees
- Nashua, NH1 employees
- Portsmouth, NH1 employees
- Salem, NH1 employees
- Southborough, MA1 employees
- Waltham, MA1 employees
- Westfield, MA1 employees
- Woburn, MA1 employees
What changed
consecutive filings, newest first
- Accounts · 1,467 to 1,509Jul 9, 2025 to Mar 26, 2026
- Advisory employees · 63 to 69Jul 9, 2025 to Mar 26, 2026
- BD registered reps · 63 to 68Jul 9, 2025 to Mar 26, 2026
- HNW clients · 43 to 73Jul 9, 2025 to Mar 26, 2026
- Individual clients · 1,094 to 886Jul 9, 2025 to Mar 26, 2026
- Employees · 131 to 129Jul 9, 2025 to Mar 26, 2026
- Insurance-licensed employees · 63 to 66Jul 9, 2025 to Mar 26, 2026
- Financial planning clients · 251-500 to 26-50Jul 9, 2025 to Mar 26, 2026
- State-registered IARs · 63 to 69Jul 9, 2025 to Mar 26, 2026
- Other offices · 33 to 35Jul 9, 2025 to Mar 26, 2026
- Discretionary RAUM · $327M to $414MJul 9, 2025 to Mar 26, 2026
- HNW RAUM · $69.1M to $72.5MJul 9, 2025 to Mar 26, 2026
- Individual RAUM · $258M to $342MJul 9, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $205,975 to $0Jul 9, 2025 to Mar 26, 2026
- Pension RAUM · 195581.0 to unsetJul 9, 2025 to Mar 26, 2026
- RAUM · $328M to $414MJul 9, 2025 to Mar 26, 2026
- Financial planning clients · 251-500 to 251-500Mar 31, 2025 to Jul 9, 2025
- Other offices · 32 to 33Mar 31, 2025 to Jul 9, 2025
- Accounts · 1,318 to 1,467Mar 19, 2024 to Mar 31, 2025
- Advisory employees · 67 to 63Mar 19, 2024 to Mar 31, 2025
- Advisory activities · 5 to 4Mar 19, 2024 to Mar 31, 2025
- BD registered reps · 68 to 63Mar 19, 2024 to Mar 31, 2025
- HNW clients · 28 to 43Mar 19, 2024 to Mar 31, 2025
- Individual clients · 1,043 to 1,094Mar 19, 2024 to Mar 31, 2025
- Employees · 122 to 131Mar 19, 2024 to Mar 31, 2025
- Insurance-licensed employees · 11 to 63Mar 19, 2024 to Mar 31, 2025
- Financial planning clients · 26-50 to 251-500Mar 19, 2024 to Mar 31, 2025
- State-registered IARs · 67 to 63Mar 19, 2024 to Mar 31, 2025
- Discretionary RAUM · $301M to $327MMar 19, 2024 to Mar 31, 2025
- HNW RAUM · $43.1M to $69.1MMar 19, 2024 to Mar 31, 2025
- Individual RAUM · $258M to $258MMar 19, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $0 to $205,975Mar 19, 2024 to Mar 31, 2025
- Pension RAUM · $211,036 to $195,581Mar 19, 2024 to Mar 31, 2025
- RAUM · $301M to $328MMar 19, 2024 to Mar 31, 2025
- Accounts · 1,263 to 1,318Jan 5, 2024 to Mar 19, 2024
- Advisory employees · 69 to 67Jan 5, 2024 to Mar 19, 2024
- BD registered reps · 71 to 68Jan 5, 2024 to Mar 19, 2024
- HNW clients · 27 to 28Jan 5, 2024 to Mar 19, 2024
- Individual clients · 849 to 1,043Jan 5, 2024 to Mar 19, 2024
- Employees · 126 to 122Jan 5, 2024 to Mar 19, 2024
Signals
7 dated events
- John Vincent Caggiano left Northeast Planning Associates, Inc. for The Ameriflex Group (registered 2026-06-22)Jun 30, 2026 · Advisor changed firm · fact
- Nathaniel Benjamin Hahn left Northeast Planning Associates, Inc. for Brown, Lisle/Cummings, Inc (registered 2026-02-17)Feb 19, 2026 · Advisor changed firm · fact
- Christopher Paul Mara left Northeast Planning Associates, Inc. for Lpl Financial Llc (registered 2022-07-07)Jul 12, 2024 · Advisor changed firm · fact
- Ryan Francis Callahan left Northeast Planning Associates, Inc. for Ameriprise Financial Services, Llc (registered 2023-05-05)May 5, 2023 · Advisor changed firm · fact
- Northeast Planning Associates, Inc. reported 64 state-registered advisory representatives, down from 91 (2017-07-03 to 2018-03-28)Mar 28, 2018 · Advisor headcount change · derived
- Northeast Planning Associates, Inc. reported RAUM $247.3M, up 94% from $127.7M (2017-07-03 to 2018-03-28)Mar 28, 2018 · RAUM change · derived
- Northeast Planning Associates, Inc. filed its initial SEC registration (Form ADV)Apr 17, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 603-471-0900reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- jayers.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (603) 471-0900reportedpublic record, Form ADV, May 8, 2026
- Contact form
- jayers.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- jayers.com/our-teamreportedpublished by the firm, firm site, Sep 15, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $5.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026