at


Investment Adviser Firm Summary

NORTHEAST ASSET MANAGEMENT LLC (CRD# 117567 / SEC# 801-71727)
Alternate Names: NORTHEAST ASSET MANAGEMENT LLC , NORTHEAST ASSET MANAGEMENT, INC.

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 08/27/2010
California Terminated 03/31/2011
Colorado Terminated 05/17/2010
Florida Terminated 03/31/2011
Georgia Terminated 03/31/2011
Louisiana Terminated 03/31/2011
Maryland Terminated 05/04/2011
Nebraska Terminated 12/31/2008
New Jersey Terminated 09/15/2010
New York Terminated 03/31/2011
Ohio Terminated 01/24/2007
Oklahoma Terminated 03/31/2011
Pennsylvania Terminated 04/01/2011
Virginia Terminated 03/31/2011

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Arizona 02/02/2011
Arkansas 10/07/2015
California 07/26/2007
Colorado 08/27/2010
Connecticut 08/27/2010
Delaware 07/13/2012
District of Columbia 04/28/2011
Florida 08/27/2010
Georgia 08/27/2010
Hawaii 08/09/2017
Illinois 03/01/2011
Indiana 06/12/2017
Kentucky 08/09/2017
Louisiana 08/09/2017
Maryland 03/01/2011
Massachusetts 09/29/2010
Michigan 07/13/2012
Minnesota 08/09/2017
Missouri 03/12/2015
Nebraska 08/27/2010
Nevada 08/09/2017
New Jersey 09/15/2010
New Mexico 02/22/2011
New York 08/27/2010
North Carolina 02/22/2011
Ohio 08/27/2010
Pennsylvania 08/27/2010
Puerto Rico 10/07/2015
South Carolina 04/26/2011
Tennessee 08/27/2010
Texas 08/27/2010
Virginia 03/01/2011
Washington 08/09/2017
West Virginia 03/22/2011

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser