Heartland Northeast LLC

Heartland Northeast LLC provides investment advisory and portfolio management services to individual and high‑net‑worth clients, preparing individualized Investment Policy Statements and offering asset allocation, asset selection, and ongoing portfolio monitoring. The firm sponsors a wrap fee program in addition to non‑wrap advisory services and reports no account minimums, currently overseeing a small amount of client assets (reported non‑discretionary AUM of $30,000).

HNELLC’s investment process combines multiple analytical methods—charting, cyclical, fundamental, quantitative, technical analysis and modern portfolio theory—and is oriented toward long‑term trading and tailored model allocations. The firm documents client objectives and risk tolerance in an IPS and offers both discretionary and non‑discretionary management, though its current assets are held on a non‑discretionary basis.

Distinctive features include acting as sponsor of a wrap fee program and maintaining affiliated insurance activities: the firm’s principal is a licensed insurance agent who may recommend annuities and other insurance products for which commissions are received, with disclosures and conflict‑management procedures described in the brochure. The firm also requires clients to use a specific custodian (Schwab Institutional) and states that wrap accounts are managed in the same manner as non‑wrap accounts.