Northeast Planning Associates, Inc.
SEC-registered
Insurance-Affiliated · Small ($100M–$1B)
CRD 131406
· SEC file 801-110475
· Bedford, NH
· www.financialplanningmatters.com
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ADV data as of May 08, 2026
- Regulatory AUM
- $414M
- Discretionary
- $414M
- Clients
- 959
- Avg AUM / client
- $432K
- Accounts
- 1,509
- Employees
- 129
AUM over time
$128M
$414M
Dec 2016
May 2026
Annual snapshots from Form ADV filings · as of May 08, 2026
Investments (13F portfolio — 55 positions, $148,904,286)
13F period Mar 31, 2026| # | Issuer | Class | Value | Shares | % of 13F | % of AUM |
|---|---|---|---|---|---|---|
| 1 | Ishares Silver Tr | ISHARES | $30,709,330 | 450,680 | 20.6% | 7.42% |
| 2 | Victory Portfolios Ii | CORE INTERMEDIAT | $20,289,470 | 431,535 | 13.6% | 4.9% |
| 3 | Victory Portfolios Ii | SHORT TRM BD ETF | $13,433,825 | 265,596 | 9.02% | 3.24% |
| 4 | J P Morgan Exchange Traded F | ULTRA SHRT ETF | $11,515,760 | 227,539 | 7.73% | 2.78% |
| 5 | Vaneck Etf Trust | GOLD MINERS ETF | $10,100,109 | 110,059 | 6.78% | 2.44% |
| 6 | Morgan Stanley Etf Trust | EATON VANCE MORT | $8,416,426 | 167,258 | 5.65% | 2.03% |
| 7 | Dbx Etf Tr | XTRACK MSCI EAFE | $3,624,474 | 73,370 | 2.43% | 0.88% |
| 8 | Global X Fds | GLOBAL X SILVER | $3,483,353 | 38,670 | 2.34% | 0.84% |
| 9 | First Tr Exchange Traded Fd | FST LOW OPPT EFT | $3,419,259 | 68,646 | 2.3% | 0.83% |
| 10 | Victory Portfolios Ii | SHARES FREE CASH | $3,301,793 | 83,632 | 2.22% | 0.8% |
| 11 | Global X Fds | GLOBAL X COPPER | $3,225,044 | 42,240 | 2.17% | 0.78% |
| 12 | Victory Portfolios Ii | VICTORYSHS EMERG | $2,962,172 | 51,773 | 1.99% | 0.72% |
| 13 | First Tr Exchng Traded Fd Vi | FT VEST US EQT | $2,667,329 | 49,954 | 1.79% | 0.64% |
| 14 | First Tr Exchng Traded Fd Vi | FT VEST NASD 100 | $2,662,843 | 116,889 | 1.79% | 0.64% |
| 15 | First Tr Exchange Traded Fd | SMID RISNG ETF | $2,532,830 | 64,236 | 1.7% | 0.61% |
| 16 | Ishares Tr | RUS 1000 GRW ETF | $2,523,862 | 5,919 | 1.7% | 0.61% |
| 17 | Vanguard Index Fds | TOTAL STK MKT | $2,349,933 | 7,325 | 1.58% | 0.57% |
| 18 | Ishares Tr | RUS TP200 GR ETF | $2,146,492 | 8,626 | 1.44% | 0.52% |
| 19 | First Tr Exchange Traded Fd | RISNG DIVD ACHIV | $2,118,320 | 31,024 | 1.42% | 0.51% |
| 20 | Global X Fds | ADAPTIVE US | $2,083,063 | 43,083 | 1.4% | 0.5% |
| 21 | Ishares Tr | RUS MD CP GR ETF | $1,807,771 | 14,110 | 1.21% | 0.44% |
| 22 | Sprott Asset Management Lp | PHYSICAL SILVER | $889,064 | 36,452 | 0.6% | 0.21% |
| 23 | Ishares Tr | RUSSELL 3000 ETF | $819,203 | 2,210 | 0.55% | 0.2% |
| 24 | Apple Inc | COM | $705,537 | 2,780 | 0.47% | 0.17% |
| 25 | Dimensional Etf Trust | US CORE EQUITY 2 | $705,115 | 18,145 | 0.47% | 0.17% |
Top 25 of 55 positions from the manager's latest Form 13F · source filing (EDGAR) ↗. 13F covers long US-listed positions only. "% of AUM" is share of the firm's total regulatory AUM (Form ADV Item 5.F).
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 886 | $342M | 82.5% |
| High net worth individuals | 73 | $72.5M | 17.5% |
People (72)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Edward Charles Hiers | Founder And Chief Executive Officer | Aug 1984 (42y) | 25% – 50% | |
| Michael John Hartman | Chief Compliance Officer | Nov 2004 (22y) | Less than 5% | |
| Benjamin J Hiers | President & Coo | Feb 2008 (19y) | 75% or more | |
| Gary Francis Wallace | Registered representative | Jul 2004 (22y) | ||
| Gary William Pelletier | Registered representative | Chartered Financial Consultant | Jul 2004 (22y) | |
| George Kenneth Slyman | Registered representative | CFP | Jul 2004 (22y) | |
| Henry Erving Cooley | Registered representative | Jul 2004 (22y) | ||
| Matthew Henry Eaton | Registered representative | Jul 2004 (22y) | ||
| Paul Michael Goyette | Registered representative | Jul 2004 (22y) | ||
| Christian Allen Beliveau | Registered representative | Jul 2004 (22y) | ||
| Don Matthew Silk | Registered representative | CFP Chartered Financial Consultant | Jul 2004 (22y) | |
| Michael Francis Antosca | Registered representative | Jul 2004 (22y) | ||
| William Victor Gibbons | Registered representative | Chartered Financial Consultant | Jul 2004 (22y) | |
| Michael Drew Lynch | Registered representative | Jul 2004 (22y) | ||
| Steven Albert Dean | Registered representative | Jul 2004 (22y) | ||
| Daren Phillip Seekins | Registered representative | Jul 2004 (22y) | ||
| Donald Arthur Burnham | Registered representative | Jul 2004 (22y) | ||
| Zachary Miles Longley | Registered representative | Aug 2004 (22y) | ||
| John Francis Fricke | Registered representative | Chartered Financial Consultant | Nov 2004 (22y) | |
| Timothy John Brisson | Registered representative | Chartered Financial Consultant | Nov 2004 (22y) | |
| Beth Anne Plentzas | Registered representative | May 2005 (21y) | ||
| Dominic Martin Lucente | Registered representative | CFP | Aug 2005 (21y) | |
| Jon Phillip Harrison | Registered representative | Jan 2006 (21y) | ||
| Brian William Heffernan | Registered representative | May 2006 (20y) | ||
| Alexandre Miguel Oliveira | Registered representative | Jul 2008 (18y) | ||
| Zachary Farley Longley | Registered representative | Feb 2009 (17y) | ||
| James Francis Leblond | Registered representative | Jun 2009 (17y) | ||
| James Timothy Ayers | Registered representative | Jun 2009 (17y) | ||
| Walter Herbert Ammon | Registered representative | Jan 2010 (17y) | ||
| Robert Kratzer Everett | Registered representative | Feb 2011 (15y) | ||
| Mark Jeffrey Porter | Registered representative | CFP | Aug 2011 (15y) | |
| Corey Alan Scrupps | Registered representative | Oct 2011 (15y) | ||
| John Brendan Castelot | Registered representative | Jan 2012 (15y) | ||
| Richard Domenick Capannola | Registered representative | Jun 2012 (14y) | ||
| Jason Daniel Lawrence | Registered representative | CFP | Jan 2014 (13y) | |
| Patrick John Gillis | Registered representative | Jan 2014 (13y) | ||
| Andrew Timothy Doughty | Registered representative | CFP | Feb 2014 (12y) | |
| Ryan James Smith | Registered representative | Jul 2014 (12y) | ||
| Phillip Andrew Curtis | Registered representative | CFP | Jan 2015 (12y) | |
| Michelle L Wheeler | Registered representative | Apr 2015 (11y) | ||
| Michael Scott Riddell | Registered representative | Jan 2016 (11y) | ||
| James Farnham | Registered representative | Feb 2016 (10y) | ||
| Claudia M Vecchi | Registered representative | Mar 2016 (10y) | ||
| Caitlin Aliza Harrison | Registered representative | Jul 2016 (10y) | ||
| Thomas Lee Harnish | Registered representative | Nov 2016 (10y) | ||
| Craig Alan Grover | Registered representative | Chartered Financial Consultant | Nov 2016 (10y) | |
| Randall Norman Dean | Registered representative | Dec 2016 (10y) | ||
| Paul Harris Brock | Registered representative | Chartered Financial Consultant | Jul 2017 (9y) | |
| John Francis Tilton | Registered representative | Oct 2017 (9y) | ||
| Joshua Gregory Rent | Registered representative | May 2018 (8y) | ||
| Kevin Michael Crowley | Registered representative | CFP | Mar 2019 (7y) | |
| Caleb James Kirby | Registered representative | CFP | Apr 2019 (7y) | |
| John Forest Ryder | Registered representative | Jun 2019 (7y) | ||
| Kathleen Eileen Sweeney | Registered representative | Feb 2020 (6y) | ||
| Connor Allen Woods Brisson | Registered representative | Mar 2020 (6y) | ||
| Paul Tamagni | Registered representative | Mar 2020 (6y) | ||
| Zachary D Silk | Registered representative | Jan 2021 (6y) | ||
| Stephen Brookman Guy | Registered representative | CFP | Aug 2021 (5y) | |
| Michael David Woodman | Registered representative | Chartered Financial Consultant | Jun 2022 (4y) | |
| James Brian Reynolds | Registered representative | Aug 2022 (4y) | ||
| Paul Edward Fitzpatrick | Registered representative | Dec 2023 (3y) | ||
| Mark Giffin Morrison | Registered representative | Jul 2025 (1y) | ||
| Peter Charles Yerger | Registered representative | CFP Chartered Financial Consultant | Jul 2025 (1y) | |
| Sarah Whaley Drake | Registered representative | Sep 2025 (1y) | ||
| Dylan M Burling | Registered representative | CFP | Oct 2025 (1y) | |
| Paul M Accardi | Registered representative | Nov 2025 (1y) | ||
| William Ryan Barbieri Reis | Registered representative | Dec 2025 (1y) | ||
| Jared Brant Koelker | Registered representative | Mar 2026 (0y) | ||
| Ryan Thomas Levasseur | Registered representative | Mar 2026 (0y) | ||
| Zachary Steven Golub | Registered representative | May 2026 (0y) | ||
| James V Anza | Registered representative | May 2026 (0y) | ||
| Brendan Michael Begley | Registered representative | Jun 2026 (0y) |
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) | 05/08/2026 | 1.19 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
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
- • Selection of other advisers
Custody
Reported custodians
- Tiaa Cref Individual & Institutional Services, Llc $207M (50% of AUM) May 2026
- LPL Financial $202M (49% of AUM) May 2026
- Assetmark Brokerage, Llc $41.2M (17% of AUM) Jul 2018
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have 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: May 08, 2026.
View current Form ADV (SEC/IAPD) ↗