Broker Check

Our Company

Northeast Advisers is an independent Investment Adviser registered with the United States Securities and Exchange Commission.  We are a Fiduciary and place our clients’ best interests first.  We develop investment strategies designed to meet our clients’ goals.  We strive to implement investment strategies using a "best of breed" approach, and our client portfolios typically include select no-load mutual funds.  We also use individual securities and socially responsible investments, when appropriate.

Our advisory relationships are initiated by referrals from professionals as well as existing clients. We will work closely with your other advisors, with your approval. Our diverse client base includes individuals and families, as well as institutions such as foundations, corporations and retirement plans.

More information on Northeast Advisers is available in our Client Relationship Summary (Form CRS) or on


The first step we take with any client is to develop a game plan that includes an analysis of personal objectives and needs.  We will then create a custom, written Investment Policy Statement and develop investment recommendations.  Since we are an independent investment firm, our individual fund recommendations are made based on performance, management and operating expenses and overall fit in the portfolio.  We monitor the positions and the allocation on an ongoing basis and recommend changes as necessary.


We base our investment philosophy on our belief that the most important investment decision an investor can make is not which investment to buy – but rather, how assets should be allocated considering the investor’s goals, objectives and tolerance for risk.

Our advice is rooted in discipline and a long-term perspective. These qualities especially help us work to serve our clients in periods of market turmoil, when investors may be drawn towards making impulsive decisions or straying from their customized investment plan.

Our interests are completely aligned with those we serve. We enjoy a fiduciary-based relationship with our clients, acting on their behalf to develop strategies and build portfolios matched to specific financial goals.

"Brokerage firms would like you to think that they perform the same function as investment advisors. Many brokers call themselves ’financial consultants’ or ’financial advisors’. But they are not the same as independent investment investment advisor’s fiduciary duty is on a higher plane, like that of a lawyer, a trustee, or the executor of an estate."

Arthur Levitt, Former SEC Chairman