NC
Northeast Capital Management, Inc.
State-registered
Wealth Manager · Small ($100M–$1B)
CRD 128508
· Coral Gables, FL
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ADV data as of Feb 03, 2026
- Regulatory AUM
- $105M
- Discretionary
- $105M
- Clients
- 86
- Avg AUM / client
- $1.2M
- Accounts
- 248
- Employees
- 1
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 44 | $17.1M | 16.2% |
| High net worth individuals | 40 | $86.1M | 81.8% |
| Pension and profit sharing plans | 2 | $2.1M | 1.97% |
People (1)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Roger H Saint Pierre | Registered representative | Aug 1995 (31y) |
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 02/03/2026 | 1.07 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
Custody
Reported custodians
- Charles Schwab & Co. $105M (100% of AUM) Feb 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Feb 03, 2026.
View current Form ADV (SEC/IAPD) ↗