# Northeast Equity Research Inc.

> Northeast Equity Research Inc. is a state-registered investment advisory firm, registered since 2015, reporting under $25 million in regulatory assets under management in its Form ADV filing dated March 31, 2026.

- CRD: 154083
- Filed as: NORTHEAST EQUITY RESEARCH INC.
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Registered in Massachusetts
- Filing period: October 2026
- Form ADV filing dated: March 31, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/154083
- AdvisorCensus page: https://advisorcensus.com/firm/northeast-equity-research-inc-154083

## Quick answers

**How is Northeast Equity Research Inc. compensated?**
On its Form ADV (Item 5.E, October 2026), Northeast Equity Research Inc. reports these compensation arrangements: a percentage of assets under its management; commissions.

**Is Northeast Equity Research Inc. registered with the SEC or a state?**
Northeast Equity Research Inc. is a state-registered investment advisory firm, registered since 2015. Status as filed: APPROVED. CRD 154083.

**How much does Northeast Equity Research Inc. manage?**
Northeast Equity Research Inc. reports $14,150,000 in regulatory assets under management in its Form ADV filing dated March 31, 2026 (0% discretionary).

**What types of clients does Northeast Equity Research Inc. serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (100).

**Does Northeast Equity Research Inc. report any disciplinary disclosures?**
Reports 1 disclosure item on Form ADV Item 11: yes answers to 11.D(2) (another regulator's finding of a violation). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/154083

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Commissions

### Regulatory assets under management (Item 5.F)
- Total: $14,150,000
- Discretionary: $0
- Non-discretionary: $14,150,000

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 100 | $14,150,000 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Other

### Firm details
- Registered since: 2015 (11 years)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: MA
- Disclosures (Item 11): Reports 1 disclosure item on Form ADV Item 11.

### Item 11 questions answered yes
- 11.D(2): Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/154083

### Websites listed on Form ADV (Item 1.I)
- northeastequityresearch.com
- Facebook @northeastequityresearch
- LinkedIn @ken-nagy-cfa-0ba2042a
- X @Northeastequity
- YouTube @UCjBmg-HOt14qTwwlbYMCrvA

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Northeast Equity Research Inc. (CRD 154083): Form ADV filing data as of October 2026.