Northeast Investment Management Inc
- Regulatory AUM
- $3.3B
- Discretionary
- $3.2B
- Clients
- 1,651
- Avg AUM / client
- $2.0M
- Accounts
- 1,651
- Employees
- 25
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Feb 19, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 1,077 | $315M | 9.63% |
| High net worth individuals | 549 | $2.8B | 86.2% |
| Pension and profit sharing plans | 4 | $8.8M | 0.27% |
| Charitable organizations | 12 | $75.8M | 2.32% |
| Corporations and other businesses | 6 | $45.9M | 1.4% |
| Other | 3 | $5.1M | 0.16% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| The Restated Farm King Supply, Inc Profit Sharing Plan And Trust Farm King Supply, Inc | 2024 |
People (11)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Nancy Marie Mulligan | President & Director | CFP | Mar 2008 (18y) | 10% – 25% |
| John Frank Francini | Director | CFA | Apr 2008 (18y) | 10% – 25% |
| Justin E Oates | Director | CFP | Aug 2012 (14y) | 10% – 25% |
| Manoogian, Richard, George | Cco, Cfo & Director | Aug 2012 (14y) | 10% – 25% | |
| John Robert Lawrie | Director | CFA | Nov 2013 (13y) | 10% – 25% |
| Daniel Costa | Registered representative | CFP | Mar 2009 (17y) | |
| Robert Michael Kane | Registered representative | CFP | Jan 2017 (10y) | |
| James W Murphy | Registered representative | CFP | Mar 2020 (6y) | |
| Christopher Paul Harris | Registered representative | CFP | Jun 2021 (5y) | |
| Jared L Ginnetty | Registered representative | CFA | Jul 2023 (3y) | |
| Colin P Molloy | Registered representative | CFA | Apr 2026 (0y) |
Undisclosed: 0% – 50% of the firm is not attributable from the filed Schedule A bands.
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.
Retirement plans served (1)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| The Restated Farm King Supply, Inc Profit Sharing Plan And Trust | Farm King Supply, Inc | 138 | $8.6M | 02/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 02/19/2026 | 1.14 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
- • Fixed fees
Services
- • Portfolio management for individuals/small businesses
Custody
Reported custodians
- BNY Mellon $2.9B (88% of AUM) Feb 2026
- SEI Private Trust $1.5B (95% of AUM) Mar 2018
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 19, 2026.
View current Form ADV (SEC/IAPD) ↗