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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.


Not Currently Notice Filed


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