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NORTHEAST PLANNING ASSOCIATES, INC.

BEDFORD, NH · CRD 131406 · IAPD ↗ · paulhbrock.com · (603) 471-0900

$414.0MRegulatory AUM
69Advisory reps
129Employees
5Clients
26-50Planning clients
0Private funds
12States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

45
June 2026 — NORTHEAST PLANNING ASSOCIATES, INC. notice-filed in CT.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
53
April 2026 — NORTHEAST PLANNING ASSOCIATES, INC. added office(s): 33 -> 35 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
63
April 2026 — NORTHEAST PLANNING ASSOCIATES, INC. reported RAUM up 26% ($327.7M -> $414.0M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
74
April 2026 — NORTHEAST PLANNING ASSOCIATES, INC. grew from 63 to 69 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
45
August 2025 — NORTHEAST PLANNING ASSOCIATES, INC. notice-filed in PA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
53
August 2025 — NORTHEAST PLANNING ASSOCIATES, INC. added office(s): 32 -> 33 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
67
April 2025 — NORTHEAST PLANNING ASSOCIATES, INC. reports 251-500 financial-planning clients, up from 26-50.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
45
February 2024 — NORTHEAST PLANNING ASSOCIATES, INC. notice-filed in RI.
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.