# Northeast Planning Associates

Northeast Planning Associates is an Asset Manager based in Bedford, United States.

## Overview

- **Organization type:** Asset Manager
- **Headquarters:** Bedford, United States
- **Region:** North America
- **Address:** Bedford, NH, United States
- **Founded:** 1975
- **Assets under management:** Undisclosed
- **Website:** northeastplanningassociates.com

## Regulatory record

- **CRD number:** 131406
- **SEC file number:** 801-110475
- **Registration status:** Registered
- **Reports private funds:** No
- **IAPD record:** https://adviserinfo.sec.gov/firm/summary/131406

## About

NORTHEAST PLANNING ASSOCIATES, INC. is an SEC-registered investment adviser in BEDFORD, NH, registered since 2017. The firm manages approximately $414 million in regulatory assets. It employs 129 staff and 69 investment advisers.

## Sectors

- Financial Services
- Estate Planning
- Retirement Planning

## People

- Richard C. Borsetti — President

## Questions

### How is Northeast Planning Associates structured as a business?

The firm operates as an office of supervisory jurisdiction — a compliance and business-support hub for independent financial advisors affiliated through a larger broker-dealer network. Advisors use Northeast Planning Associates as their registered branch, which handles regulatory oversight, continuing-education requirements, and practice-management resources. The underlying client relationships remain with individual advisors, not a centralized portfolio-management team.

### What types of clients does Northeast Planning Associates serve?

The firm primarily serves mass-affluent and high-net-worth individuals, families, and small-business owners in New England. Typical client needs center on retirement-income planning, estate-transfer strategies, insurance placement, and education-funding plans. Institutional client mandates such as pension consulting or endowment management are not a core part of the firm's public profile.

### Who oversees investment and compliance decisions at the firm?

Richard C. Borsetti has led the firm as president for decades, overseeing the platform that supports affiliated advisors. Investment decisions are made at the individual advisor or client level, not by a central investment committee, though product availability and compliance guardrails are set by the broker-dealer relationship and the firm's supervisory framework.

### What is the relationship between Northeast Planning Associates and LPL Financial?

Northeast Planning Associates operates as a registered branch or office of supervisory jurisdiction within the LPL Financial broker-dealer network. This means LPL provides clearing, custody, and certain compliance infrastructure, while Northeast Planning Associates manages local advisor relationships and day-to-day supervision of its registered representatives in New England.

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Last updated: 2026-06-03T20:00:00.000Z

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