HN
Heartland Northeast Llc
State-registered
Insurance-Affiliated · Boutique (under $100M)
CRD 334646
·
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ADV data as of Oct 11, 2026
- Regulatory AUM
- $404K
- Discretionary
- $0
- Clients
- 7
- Avg AUM / client
- $57.7K
- Accounts
- 8
- Employees
- 1
AUM over time
$250K
$404K
Jul 2, 2026
Oct 11, 2026
Reported AUM from Form ADV filings, plotted by filing date · as of Oct 11, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 4 | $102K | 25.4% |
| High net worth individuals | 3 | $301K | 74.6% |
People (1)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Phillip Defranco | Registered representative | Feb 2025 (2y) |
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) | 07/02/2026 | 1.1 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
- • Other fees
- • WRAP FEE
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
- • Educational seminars/workshops
Custody
Firm reports it does not have custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Oct 11, 2026.
View current Form ADV (SEC/IAPD) ↗