NEW ENGLAND CAPITAL FINANCIAL ADVISORS LLC
Adviser information for NEW ENGLAND CAPITAL FINANCIAL ADVISORS LLC last updated from Form ADV on February 5th, 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 | Connecticut, United States |
Employees
| Total Number of Employees | 11 |
|---|---|
| Investment Advisory/Research | 11 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 6 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 2,705 | $521.3M |
| Non-Discretionary | 3 | $7.5M |
| Total | 2,708 | $528.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 922 | $215.9M |
| HNW Individuals | 182 | $263.8M |
| 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 | 17 | $44.1M |
| Charitable organizations | <5 | $3.1M |
| 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 | <5 | $1.9M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 1127 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesEducational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Principal Office
79 MAIN STREETSOUTH MERIDEN
CT
United States
Monday - Friday, 8:30AM - 5:00PM
Tel: 203-935-0265, Fax: 203-935-0266
Chief Compliance Officer
DARREN M TAPLEY
79 MAIN STREET
SOUTH MERIDEN
CT
United States
Tel:
203-935-0265
Fax:
203-935-0266
D***********@********************M
(Full email address available in API data)
Regulatory Contact
CHRISTOPHER W. BEALE
MANAGING MEMBER
79 MAIN STREET
SOUTH MERIDEN
CT
United States
Tel:
203 935-0265
Fax:
203-935-0266
C*********@********************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 |
|---|---|---|---|---|---|
| BEALE, CHRISTOPHER, WILLIAM | Individual | – | MANAGING MEMBER | 01/1999 | > 75% |
| TAPLEY, DARREN, M | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2011 | < 5% |
| LEE, CHRISTOPHER, MICHAEL | Individual | – | MEMBER | 01/2011 | 10-25% |