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Head & Associates (Portland)


Head & Associates is a large advisory firm based in Portland. It manages $327.81 million of regulatory assets for 316 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Connecticut, Maine, New Hampshire, and Vermont.




Head & Associates provides portfolio management for individuals and small businesses and portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Head & Associates: assets under management

The assets under management (AUM) of Head & Associates is $327.81 million. The company doesn't manage any assets belonging to foreign clients.


The firm manages $296.15 million in discretionary accounts and $31.66 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $964.66 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $3.52 million.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Head & Associates for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Hourly charges are usually charged for consulting work and special projects. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Based in Portland

The principal office where Head & Associates performs its advisory services is located at 121 Middle Street, Portland, ME 04101, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 207-773-5333 or by fax 207-773-1735. The normal business hours are 8:30 am - 5:00pm on Monday - Friday.


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