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HEADINVEST

PORTLAND, ME · CRD 140518 · IAPD ↗ · headinvest.com · 207-773-5333

$891.8MRegulatory AUM
6Advisory reps
13Employees
0Clients
101-250Planning clients
0Private funds
11States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

53
April 2026 — HEADINVEST shrank from 8 to 6 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
45
September 2024 — HEADINVEST notice-filed in PA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
64
April 2024 — HEADINVEST reports 101-250 financial-planning clients, up from 26-50.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
68
April 2024 — HEADINVEST now reports custody of client assets ($688.7M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian

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