← Tributary

NORTHEAST FINANCIAL

WESTPORT, CT · CRD 110361 · IAPD ↗ · nfc-westport.com · 203-226-8997

$4.59BRegulatory AUM
3Advisory reps
8Employees
0Clients
251-500Planning clients
0Private funds
1States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

65
February 2026 — NORTHEAST FINANCIAL (WESTPORT, CT) left the SEC roster (was $4.59B RAUM, 3 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
49
April 2025 — NORTHEAST FINANCIAL notice-filed in MD, NC.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.