Hedge Fund Database

NEW ENGLAND GUILD WEALTH ADVISORS, INC.

Adviser information for NEW ENGLAND GUILD WEALTH ADVISORS, INC. last updated from Form ADV on January 27th, 2023. 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 Connecticut, United States

Employees

Total Number of Employees 7
Investment Advisory/Research 4
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 4
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 716 $396.5M
Non-Discretionary 0 $0
Total 716 $396.5M

Clients

Type Number RAUM
Individuals 64 $26.9M
HNW Individuals 116 $357.7M
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 5 $11.9M
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 0
No. of Financial Planning Clients 101-250

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients
Compensation % of AUMFixed fees

Identifiers

SEC RIA File Number 801-39648
SEC ERA File Number 801-39648
SEC CIK Numbers 878057
SEC CRD Numbers 106400
Legal Entity Identifier None

Principal Office

139 SIMSBURY ROAD
AVON
CT
United States
Monday - Friday, 9:00 AM TO 5:00 PM
Tel: 860-404-5900, Fax: 860-404-5598

Websites

www.neguild.com

Chief Compliance Officer

WILLIAM R. PFEIFFER JR.
PRINCIPAL
139 SIMSBURY ROAD
AVON
CT
United States
Tel: 860-404-5900
Fax: 860-404-5598
(Full email address available in API data)

Regulatory Contact

BRENDAN F. FITZGERALD
PRINCIPAL
139 SIMSBURY ROAD
AVON
CT
United States
Tel: 860-404-5900
Fax: 860-404-5598
(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
LOGUE, ERNEST, PATRICK Individual – PRINCIPAL, CFO, PRESIDENT, DIRECTOR 07/1995 > 75%
GRAYSON, SUSAN, MARY Individual – PRINCIPAL 10/2016 < 5%
PFEIFFER, WILLIAM, ROBERT Individual – PRINCIPAL, CCO 02/2020 < 5%
FITZGERALD, BRENDAN, FRANCIS Individual – PRINCIPAL, CORPORATE SECRETARY 02/2020 < 5%

No. Employees, Historic

10502019202020212022202320246 on 7/1/20196 on 11/21/20196 on 3/3/20206 on 6/15/20206 on 7/22/20206 on 3/5/20216 on 3/8/20216 on 3/8/20216 on 3/18/20217 on 3/11/20227 on 10/26/20227 on 10/26/20227 on 10/26/20227 on 1/27/2023

RAUM, Historic

400M200M0201920202021202220232024279486742 on 7/1/2019279486742 on 11/21/2019328715954 on 3/3/2020328715954 on 6/15/2020328715954 on 7/22/2020352095223 on 3/5/2021352095223 on 3/8/2021352095223 on 3/8/2021352095223 on 3/18/2021396538657 on 3/11/2022396538657 on 10/26/2022396538657 on 10/26/2022396538657 on 10/26/2022396538657 on 1/27/2023

No. Clients, Historic

2001000201920202021202220232024179 on 7/1/2019179 on 11/21/2019179 on 3/3/2020179 on 6/15/2020179 on 7/22/2020184 on 3/5/2021184 on 3/8/2021184 on 3/8/2021184 on 3/18/2021185 on 3/11/2022185 on 10/26/2022185 on 10/26/2022185 on 10/26/2022185 on 1/27/2023

Holdings

From latest 13F, filed January 11th, 2023 for period ending December 31st, 2022
Name Class Value $USD # Shares Private Fund
Apple Computer EQUITY 2K 14K –
Berkshire Hathaway Cl B EQUITY 613 2K –
Carrier Global Corp EQUITY 358 9K –
Chubb Corp. EQUITY 550 2K –
Home Depot Inc EQUITY 345 1K –
Invesco S&P 500 Equal Weight ETF 3K 22K –
iShares Cohen & Steers REIT ETF 259 5K –
iShares Core MSCI EAFE ETF 7K 119K –
iShares Core MSCI Emerging Mkt ETF 219 5K –
iShares Core MSCI Totl ETF 2K 41K –
iShares Core S&P 500 ETF 4K 11K –
iShares Core S&P Mid-Cap ETF 2K 7K –
iShares Core S&P Small-Cap ETF 2K 20K –
iShares Core S&P Total ETF 322 4K –
iShares Core US Aggregate Bond ETF 4K 44K –
iShares DJ US Real Estate ETF 2K 23K –
iShares EMU Hedged ETF ETF 3K 121K –
iShares ESG Aware MSCI ETF 399 6K –
iShares MSCI EAFE ETF 2K 38K –
iShares MSCI EAFE Small-Cap ETF 226 4K –
iShares MSCI Emerging Markets ETF 2K 56K –
iShares National Muni Bond ETF 2K 19K –
iShares Russell 2000 ETF 5K 27K –
iShares Russell 3000 ETF 262 1K –
iShares Russell Mid-Cap ETF 1K 15K –
iShares S&P NA Tec. Semi. Idx ETF 406 1K –
iShares TIPS Bond ETF 1K 10K –
Ishares US Aerospace ETF 202 2K –
iShares US Technology ETF 2K 22K –
K K R Real Estate Finance Trus EQUITY 291 21K –
M&T Bank Corporation EQUITY 236 2K –
Medical Properties EQUITY 804 72K –
Microsoft EQUITY 328 1K –
Otis Worldwide Corp EQUITY 340 4K –
PowerShares Dividend Achievers ETF 293 8K –
PowerShares FTSE RAFI US 1000 ETF 337 2K –
Proshares Dividend Aristocrats ETF 8K 118K –
ProShares Dividend Aristocrats ETF 7K 82K –
Raytheon Technologies Co EQUITY 627 6K –
Schwab Fundamental US Large Co ETF 216 4K –
Schwab US Broad Market ETF 316 7K –
Schwab US Dividend Equity ETF 758 10K –
SPDR Doubleline Ttl Rtrn ETF 5K 123K –
SPDR Financial Select Sector ETF 572 17K –
SPDR Portfolio Emerging Market ETF 343 10K –
SPDR S&P 500 ETF 10K 27K –
SPDR S&P Dividend ETF 3K 22K –
Valero Energy Corp New EQUITY 307 2K –
Vanguard All-World ex-US ETF 1K 23K –
Vanguard Dividend Appreciation ETF 2K 15K –
Vanguard Emerging Markets ETF 2K 43K –
Vanguard Glb. Ex-US Real Estat ETF 1K 29K –
Vanguard High Dividend Yield ETF 968 9K –
Vanguard Interm. Corp. Bond ETF 1K 13K –
Vanguard Interm. Treasuries ETF 2K 41K –
Vanguard Int'l Developed Marke ETF 5K 123K –
Vanguard Mid-Cap ETF 4K 21K –
Vanguard Real Estate ETF 792 10K –
Vanguard S&P 500 ETF ETF 523 1K –
Vanguard Short-Term Bond ETF 14K 180K –
Vanguard Short-Term Corp. Bond ETF 12K 166K –
Vanguard Short-Term Treasuries ETF 710 12K –
Vanguard Small-Cap ETF 1K 7K –
Vanguard Total Bond Market ETF 6K 89K –
Vanguard Total Int'l Stock ETF 34K 663K –
Vanguard Total Stock Market ETF 9K 45K –
Willis Towers Watson EQUITY 258 1K –