NEW ENGLAND ASSET MANAGEMENT, INC.
Adviser information for NEW ENGLAND ASSET MANAGEMENT, INC. last updated from Form ADV on March 28th, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 112 |
|---|---|
| Investment Advisory/Research | 49 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 628 | $69.8B |
| Non-Discretionary | 196 | $25.4B |
| Total | 824 | $95.2B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | <5 | $34.8M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $88.9M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 3 | $58.5M |
| Pension and profit sharing plans | <5 | $129.5M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 10 | $14.3B |
| Other investment advisers | 0 | $0 |
| Insurance companies | 110 | $80.7B |
| 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 | 20 |
| No. of Non-U.S. Clients | 10 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsPublication of periodicals or newsletters |
|---|---|
| Compensation | % of AUMFixed fees |
Principal Office
74 BATTERSON PARK RD.POND VIEW CORPORATE CENTER
FARMINGTON
CT
United States
Monday - Friday, 8:00AM TO 5:30PM
Tel: 860-676-8722, Fax: 860-676-8712
Chief Compliance Officer
BILL WILCOX
74 BATTERSON PARK ROAD
FARMINGTON
CT
United States
Tel:
(860) 409-6006
Fax:
(860) 676-8712
B**********@************M
(Full email address available in API data)
Regulatory Contact
JAIME BELLO
COMPLIANCE OFFICER
74 BATTERSON PART ROAD
FARMINGTON
CT
United States
Tel:
8604093266
J**********@************M
(Full email address available in API data)
Industry Affiliates
| NEAM LIMITED | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| AYRESOME CDO I LTD | Securitized Asset Fund | $33.5M | $0.5M | 1 |
| SAYBROOK POINT CBO II LIMITED | Securitized Asset Fund | $18.4M | $0.5M | 1 |
| SAYBROOK POINT CBO LIMITED | Securitized Asset Fund | $6.6M | $0.5M | 1 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| GENERAL RE CORPORATION | Domestic Entity | – | SHAREHOLDER | 08/1995 | > 75% |
| STEIN, LAURENCE, CABOT | Individual | – | SECRETARY, LEGAL COUNSEL / DIRECTOR | 09/2007 | < 5% |
| ROTATORI, WILLIAM, EUGENE | Individual | – | CEO / CHAIRMAN | 05/2014 | < 5% |
| BERKSHIRE HATHAWAY INC | Domestic Entity | GENERAL RE CORPORATION | SHAREHOLDER | 12/1998 | > 75% |
| CLARK, CALVIN | Individual | – | PRESIDENT / DIRECTOR | 05/2014 | < 5% |
| WILCOX, WILLIAM, DAVID | Individual | – | CHIEF COMPLIANCE OFFICER | 12/2020 | < 5% |
| QUISENBERRY, JENNIFER, O | Individual | – | CHIEF INVESTMENT OFFICER | 04/2022 | < 5% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed August 7th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| ABBOTT LABS | COM | 2M | 16K | – |
| ABBVIE INC | COM | 4M | 25K | – |
| ALLIANT ENERGY CORP | COM | 7M | 133K | – |
| ALPHABET INC | CAP STK CL A | 1M | 8K | – |
| AMERICAN EXPRESS CO | COM | 4M | 15K | – |
| AMGEN INC | COM | 6M | 19K | – |
| ARES CAPITAL CORP | COM | 5M | 226K | – |
| AT&T INC | COM | 5M | 254K | – |
| BANK AMERICA CORP | 7.25%CNV PFD L | 11M | 9K | – |
| BANK AMERICA CORP | COM | 8M | 204K | – |
| BLACKROCK TCP CAPITAL CORP | COM | 2M | 170K | – |
| BNY MELLON ETF TRUST | CORE BOND ETF | 4K | 100 | – |
| BRISTOL-MYERS SQUIBB CO | COM | 2M | 45K | – |
| BROADCOM INC | COM | 5M | 3K | – |
| CAMPBELL SOUP CO | COM | 3M | 73K | – |
| CHEVRON CORP NEW | COM | 6M | 39K | – |
| CISCO SYS INC | COM | 7M | 141K | – |
| CITIGROUP INC | COM NEW | 4M | 64K | – |
| CMS ENERGY CORP | COM | 7M | 126K | – |
| COCA COLA CO | COM | 6M | 99K | – |
| CONOCOPHILLIPS | COM | 2M | 15K | – |
| CRH PLC | ORD | 4M | 53K | – |
| CROWN CASTLE INC | COM | 2M | 20K | – |
| CSX CORP | COM | 2M | 62K | – |
| CVS HEALTH CORP | COM | 6M | 97K | – |
| DARDEN RESTAURANTS INC | COM | 2M | 12K | – |
| DBX ETF TR | XTRACKERS LOW | 5K | 115 | – |
| DISNEY WALT CO | COM | 1M | 12K | – |
| DUKE ENERGY CORP NEW | COM NEW | 8M | 75K | – |
| EOG RES INC | COM | 2M | 15K | – |
| EXELON CORP | COM | 5M | 138K | – |
| EXXON MOBIL CORP | COM | 5M | 43K | – |
| FIFTH THIRD BANCORP | COM | 8M | 213K | – |
| FIRST TR EXCHANGE TRADED FD | NASDAQ CYB ETF | 65K | 1K | – |
| FIRSTENERGY CORP | COM | 5M | 126K | – |
| GENERAL MLS INC | COM | 2M | 35K | – |
| GOLDMAN SACHS ETF TR | ACCESS HIG YLD | 5K | 120 | – |
| GOLUB CAP BDC INC | COM | 4M | 233K | – |
| HOME DEPOT INC | COM | 4M | 12K | – |
| HONEYWELL INTL INC | COM | 1M | 5K | – |
| INTERNATIONAL BUSINESS MACHS | COM | 6M | 32K | – |
| INVESCO EXCH TRADED FD TR II | SR LN ETF | 5K | 245 | – |
| INVESCO EXCH TRADED FD TR II | TAXABLE MUN BD | 5K | 200 | – |
| ISHARES INC | CORE MSCI EMKT | 7M | 137K | – |
| ISHARES TR | 0-5YR INVT GR CP | 5K | 100 | – |
| ISHARES TR | 10+ YR INVST GRD | 5K | 100 | – |
| ISHARES TR | BROAD USD HIGH | 2M | 53K | – |
| ISHARES TR | CORE MSCI EAFE | 25M | 343K | – |
| ISHARES TR | CORE MSCI EURO | 1M | 26K | – |
| ISHARES TR | CORE MSCI INTL | 8M | 117K | – |
| ISHARES TR | CORE S&P MCP ETF | 980K | 17K | – |
| ISHARES TR | CORE S&P SCP ETF | 949K | 9K | – |
| ISHARES TR | CORE S&P500 ETF | 21M | 39K | – |
| ISHARES TR | CORE US AGGBD ET | 5K | 50 | – |
| ISHARES TR | FLTG RATE NT ETF | 5K | 100 | – |
| ISHARES TR | IBOXX HI YD ETF | 4M | 49K | – |
| ISHARES TR | IBOXX INV CP ETF | 3M | 25K | – |
| ISHARES TR | MBS ETF | 569K | 6K | – |
| ISHARES TR | PFD AND INCM SEC | 189K | 6K | – |
| ISHARES TR | RUSSELL 2000 ETF | 2M | 12K | – |
| ISHARES TR | SELECT DIVID ETF | 342K | 3K | – |
| ISHARES TR | SELECT DIVID ETF | 5M | 41K | – |
| ISHARES U S ETF TR | BLACKROCK SH DUR | 5K | 100 | – |
| JOHNSON & JOHNSON | COM | 7M | 51K | – |
| JPMORGAN CHASE & CO. | COM | 12M | 58K | – |
| JPMORGAN CHASE FINL CO LLC | CAL LKD 44 | 3M | 93K | – |
| KEYCORP | COM | 8M | 558K | – |
| KINDER MORGAN INC DEL | COM | 3M | 164K | – |
| KRAFT HEINZ CO | COM | 3M | 82K | – |
| LAMAR ADVERTISING CO NEW | CL A | 8M | 65K | – |
| LOCKHEED MARTIN CORP | COM | 8M | 18K | – |
| MCDONALDS CORP | COM | 3M | 11K | – |
| MEDTRONIC PLC | SHS | 1M | 19K | – |
| MERCK & CO INC | COM | 4M | 36K | – |
| MICROSOFT CORP | COM | 5M | 11K | – |
| MOLSON COORS BEVERAGE CO | CL B | 3M | 51K | – |
| MONDELEZ INTL INC | CL A | 1M | 20K | – |
| NXP SEMICONDUCTORS N V | COM | 9M | 32K | – |
| PEPSICO INC | COM | 2M | 11K | – |
| PFIZER INC | COM | 5M | 175K | – |
| PGIM ETF TR | PGIM ULTRA SH BD | 5K | 100 | – |
| PIMCO ETF TR | ENHAN SHRT MA AC | 5K | 50 | – |
| PNC FINL SVCS GROUP INC | COM | 4M | 24K | – |
| PPL CORP | COM | 9M | 325K | – |
| PROCTER AND GAMBLE CO | COM | 9M | 52K | – |
| PUBLIC SVC ENTERPRISE GRP IN | COM | 6M | 88K | – |
| QUALCOMM INC | COM | 9M | 45K | – |
| RTX CORPORATION | COM | 5M | 52K | – |
| SCHWAB STRATEGIC TR | US AGGREGATE B | 5K | 100 | – |
| SHELL PLC | SPON ADS | 7M | 98K | – |
| SPDR S&P 500 ETF TR | TR UNIT | 90M | 165K | – |
| SPDR SER TR | BLOOMBERG HIGH Y | 3M | 34K | – |
| SPDR SER TR | PORTFOLIO INTRMD | 5K | 150 | – |
| SPDR SER TR | PORTFOLIO LN COR | 68K | 3K | – |
| SPDR SER TR | PORTFOLIO SH TSR | 6K | 200 | – |
| SYSCO CORP | COM | 8M | 117K | – |
| TARGET CORP | COM | 992K | 7K | – |
| TEXAS INSTRS INC | COM | 8M | 41K | – |
| THE CIGNA GROUP | COM | 5M | 15K | – |
| TIDAL TRUST III | AFFORDABLE HOUS | 5K | 300 | – |
| UNILEVER PLC | SPON ADR NEW | 5M | 100K | – |
| US BANCORP DEL | COM NEW | 7M | 188K | – |
| VANECK ETF TRUST | FALLEN ANGEL HG | 5K | 185 | – |
| VANECK ETF TRUST | IG FLOATING RATE | 5K | 200 | – |
| VANGUARD BD INDEX FDS | INTERMED TERM | 6K | 75 | – |
| VANGUARD CHARLOTTE FDS | TOTAL INT BD ETF | 5K | 100 | – |
| VANGUARD INDEX FDS | S&P 500 ETF SHS | 8M | 17K | – |
| VANGUARD INDEX FDS | SMALL CP ETF | 2M | 7K | – |
| VANGUARD INDEX FDS | TOTAL STK MKT | 15M | 56K | – |
| VANGUARD SCOTTSDALE FDS | SHRT TRM CORP BD | 6K | 75 | – |
| VANGUARD WHITEHALL FDS | HIGH DIV YLD | 24M | 199K | – |
| VANGUARD WORLD FD | INF TECH ETF | 153K | 265 | – |
| VERISK ANALYTICS INC | COM | 8M | 29K | – |
| VERIZON COMMUNICATIONS INC | COM | 8M | 204K | – |
| WALMART INC | COM | 6M | 82K | – |
| WELLS FARGO CO NEW | COM | 9M | 147K | – |
| WELLS FARGO CO NEW | PERP PFD CNV A | 16M | 13K | – |
| WILLSCOT MOBIL MINI HLDNG CO | COM CL A | 1M | 30K | – |