NEFPG
NEW ENGLAND FINANCIAL PLANNING GROUP, LLC Legal Name
Adviser information for NEFPG last updated from Form ADV on January 31st, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Massachusetts, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 3 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 394 | $112.0M |
| Non-Discretionary | 314 | $108.5M |
| Total | 708 | $220.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 130 | $52.5M |
| HNW Individuals | 63 | $167.9M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 1 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Registered representative of a broker-dealerInsurance broker or agent |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 0 |
Identifiers
| SEC RIA File Number | 801-17130 |
|---|---|
| SEC ERA File Number | 801-17130 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 105254 |
| Legal Entity Identifier | None |
Principal Office
69 WINN STREETBURLINGTON
MA
United States
Monday - Friday, 8:00 AM - 4:30 PM
Tel: 781-272-2200, Fax: 781-273-4117
Websites
Chief Compliance Officer
BRADFORD NICHOLS
MEMBER
69 WINN STREET
BURLINGTON
MA
United States
Tel:
781-272-2200
Fax:
781-273-4117
B***********@********M
(Full email address available in API data)
Regulatory Contact
SCOTT GOTTLIEB
CONSULTANT
15 E. PUTNAM AVE.
#286
GREENWICH
CT
United States
Tel:
888-798-2930
S**@**************************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| WOJCIK, RICHARD, JOSEPH | Individual | – | MEMBER | 03/1989 | 50-75% |
| NICHOLS, BRADFORD, BERGH | Individual | – | MEMBER/CHIEF COMPLIANCE OFFICER | 04/2019 | 10-25% |