9AT: NORTHEAST INVESTMENT MANAGEMENT INC

Adviser Profile

As of Date	02/19/2026
Registration	SEC, Approved, 10/02/1984
ADV Location	BOSTON, MA, United States
Contact Info	617 xxxxxxx
Websites

AUM^*	3,273,998,868 11%
of that, discretionary	3,231,221,054 12%
Number of Employees	25 -4%
of those in investment advisory functions	11 22%
Private Fund GAV^*	0
Avg Account Size	1,983,040 8%
% High Net Worth	33.25% -4%
SMA’s	Yes
Private Funds	0

Adviser Type

- Large advisory firm

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals
- Pension and profit sharing plans
- Charitable organizations
- Corporations or other businesses not listed above
- Other

Advisory Activities

- Portfolio management for individuals and/or small businesses

Compensation Arrangments

- A percentage of assets under your management
- Fixed fees (other than subscription fees)

Accounting Firm Name	Filing Date	Form ADV-E
Accounting Firm Name MORRIS & MORRIS, P.C.	Filing Date10/24/2025	Form ADV-E View Report
Accounting Firm Name MORRIS & MORRIS, P.C.	Filing Date04/29/2025	Form ADV-E View Report
Accounting Firm Name MORRIS & MORRIS, P.C.	Filing Date04/29/2024	Form ADV-E View Report

Adviser	Hedge Fund	Liquidity Fund	Private Equity Fund	Real Estate Fund	Securitized Asset Fund	Venture Capital Fund	Other Fund	Total Private Fund GAV	AUM	#Funds
Adviser CORDA INVESTMENT MANAGEMENT, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM2.0b	#Funds-
Adviser CLEAR PERSPECTIVES FINANCIAL PLANNING, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM348.3m	#Funds-
Adviser DHJJ FINANCIAL ADVISORS	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM623.4m	#Funds-
Adviser FIORI FINANCIAL GROUP	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM567.4m	#Funds-
Adviser WELLINGTON SHIELDS & CO., LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM546.0m	#Funds-
Adviser SHUFRO, ROSE & CO., LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM2.5b	#Funds-
Adviser NEW ENGLAND RESEARCH & MANAGEMENT, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM337.1m	#Funds-
Adviser HERITAGE FINANCIAL SERVICES	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM3.0b	#Funds-
Adviser SCHUCHARD CAPITAL MANAGEMENT INC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM325.5m	#Funds-
Adviser NORTHERN TRUST SECURITIES, INC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM1.7b	#Funds-

Stock Ticker	Stock Name	$ Position	% Position	$ Change	# Change
Stck Ticker67066G104	Stock NameNVIDIA CORP	$ Position$247,722,516	% Position9.00%	$ Change12.00%	# Change-2.00%
Stck Ticker037833100	Stock NameAPPLE INC	$ Position$207,360,189	% Position7.00%	$ Change14.00%	# Change-1.00%
Stck Ticker02079K305	Stock NameALPHABET INC CL A	$ Position$163,091,376	% Position6.00%	$ Change-6.00%	# Change-2.00%
Stck Ticker023135106	Stock NameAMAZON.COM INC	$ Position$140,244,791	% Position5.00%	$ Change0.00%	# Change-4.00%
Stck Ticker594918104	Stock NameMICROSOFT CORP	$ Position$132,579,649	% Position5.00%	$ Change37.00%	# Change0.00%
Stck Ticker92826C839	Stock NameVISA INC CL A	$ Position$84,661,741	% Position3.00%	$ Change4.00%	# Change-1.00%
Stck Ticker30303M102	Stock NameMETA PLATFORMS INC CL A	$ Position$76,997,437	% Position3.00%	$ Change27.00%	# Change-2.00%
Stck Ticker22160K105	Stock NameCOSTCO WHOLESALE CORP	$ Position$82,482,019	% Position3.00%	$ Change-3.00%	# Change0.00%
Stck Ticker922908363	Stock NameVANGUARD S&P 500 ETF	$ Position$83,772,770	% Position3.00%	$ Change5.00%	# Change3.00%
Stck Ticker084670702	Stock NameBERKSHIRE HATHAWAY INC CL B	$ Position$67,058,277	% Position2.00%	$ Change-1.00%	# Change0.00%

Brochure Summary

Overview

Northeast Investment Management, Inc. (“NIM”) is a corporation organized under the laws of the Commonwealth of Massachusetts with its office located in Boston. The company formed in 1984 as Guild, Monrad and Oates and reorganized in 1987 as Northeast Investment Management, Inc. As of January 1, 2023, the owners are John F. Francini, Jr. (20%), Richard G. Manoogian (20%), Nancy M. Mulligan (20%), Justin E. Oates (20%) and John R. Lawrie (20%) NIM provides investment advisory services on a discretionary and non-discretionary basis. For more information, see Item 16 – Investment Discretion. NIM tailors its portfolios to each client’s individual needs – be it to build, preserve or steward wealth. Clients may impose restrictions on investing in specific securities or types of securities. In addition to providing investment advisory services, NIM’s portfolio managers may provide estate-planning services and may serve as personal trustees. These services are included in the client’s investment counsel fee. NIM also provides ancillary services such as income

and gift tax preparation, estate settlement, bill paying and general consulting - for which a separate fee is charged (see Item 5 – Fees and Compensation). NIM’s investment advisory services are explained to the client in its Investment Counsel Agreement. The Agreement is ongoing but may be canceled by either party with thirty (30) days’ written notice to the other. NIM has been approved by RBC Wealth Management (“RBC”) to participate in a program that offers RBC clients the services of outside investment management firms. RBC clients who participate in this program are charged a single wrap fee by RBC that combines the costs of security transactions execution, custody of the assets and investment advisory services (see Item 5 – Fees and Compensation). The decision to use this type of service is made solely by the RBC broker and his or her client. As of December 31, 2022, Northeast Investment Management, Inc. had approximately $2.145 billion in assets under management; $2.091 billion discretionary and $54 million non-discretionary.

NORTHEAST INVESTMENT MANAGEMENT INC

NORTHEAST INVESTMENT MANAGEMENT INC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Form ADV-E Surprise Examination Reports

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Top Holdings

Brochure Summary

Overview

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NORTHEAST INVESTMENT MANAGEMENT INC NORTHEAST INVESTMENT MANAGEMENT INC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Form ADV-E Surprise Examination Reports

Similar advisers

Top Holdings

Brochure Summary

Overview

NORTHEAST INVESTMENT MANAGEMENT INC

NORTHEAST INVESTMENT MANAGEMENT INC