Northeast Investment Management Inc (Boston)


Northeast Investment Management Inc is a large advisory firm based in Boston. It manages $1.52 billion of regulatory assets for 1,393 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Arizona, California, Colorado, and 12 other states.

Northeast Investment Management provides financial planning services and portfolio management for individuals and small businesses. It prepares financial plans for more than 100 clients. On top of advisory services, the firm doesn't engage in other business activities.

Northeast Investment Management: assets under management

The assets under management (AUM) of Northeast Investment Management Inc is $1.52 billion. The firm's AUM has grown by 12% since the beginning of its operation, and $28.18 million of the total AUM is attributable to clients outside of the United States.

The firm manages $1.48 billion in discretionary accounts and $45.44 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.1 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $908.71 thousand.
Northeast Investment Management has custody of $1.43 billion in cash and securities for 1,327 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in exchange traded securities the most. They account for 71% of the total AUM. The second-largest asset type is government bonds, which make up 13% of the firm’s portfolio. Investments in investment and business development companies form 11% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Northeast Investment Management Inc for their services and products based on a percentage of assets under management and fixed fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Thomas Boushall Moore serves?

The firm provides services to individuals, charitable organizations, high net worth individuals, and corporations or other businesses. The largest group of clients of Thomas Boushall Moore is high net worth individuals with 347 clients and $1.17 billion of assets under management. Among the 11 most similar advisory firms, Northeast Investment Management has the 2nd highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $1.51 billion for 1,387 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 1% of the firm’s clients are foreign persons or businesses.

Northeast Investment Management doesn't advise any private funds.

Careers at Northeast Investment Management Inc

The company employs 22 people that are either part- or full-time employees. 36 percent of the employees work as investment advisers or researchers. 7 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Thomas Boushall Moore has been acting as President since 1 Jul 2003. Nancy Marie Mulligan joined the executive team most recently as the President & Director.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Ernest Ejner Monrad Vice president & director 1 Aug 1984 Other 4338726
Robert Bowne Minturn Vice president & director 1 Aug 1984 Other 2057642
Richard J Semple Vice president 1 May 1995 Other 3227677
William Armstrong Oates President & director 1 Jan 2000 50% - 75% 4338721
Bruce Haffenneffer Monrad Vice president & director 1 Mar 2000 Other 1299841
Thomas Boushall Moore Director 1 Jul 2003 Other 1066653
Neil Brown Rice Vice president 1 Jul 2003 Other 4684650
Neil Woodbury Rice Vice president 1 Jul 2003 Other 4684650
Richard George Manoogian Chief compliance officer 1 Feb 2008 Other 5494260
Richard George Manoogian Chief compliance officer & director 1 Aug 2012 Other 5494260
John Frank Francini Director 1 Aug 2012 Other 2217936
Nancy Marie Mulligan Director 1 Aug 2012 Other 3227676
Justin E Oates Director 1 Aug 2012 Other 5369863
Nancy Marie Mulligan President & director 1 Jan 2017 Other 3227676

Based in Boston

The principal office where Northeast Investment Management Inc performs its advisory services is located at 100 High Street, Boston, MA 02110 1757, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 617-523-3588 or by fax 617-523-5412. The normal business hours are 8:45-4:45 on Monday - Friday. You can find more information about the New York firm at northeastinvest.com.