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NEW ENGLAND CAPITAL FINANCIAL ADVISORS LLC

dba NEW ENGLAND CAPITAL FINANCIAL ADVISORS LLC · CRD 109203 · Registered Investment Adviser

NEW ENGLAND CAPITAL FINANCIAL ADVISORS LLC is a Registered Investment Adviser headquartered in SOUTH MERIDEN, CT. The firm reports $673,011,670 in regulatory assets under management across 3,067 accounts. It reports no Form ADV Item 11 disciplinary disclosures.

Regulatory assets under management

Discretionary$624,752,008
Non-discretionary$48,259,662
Total RAUM$673,011,670
Accounts3,067

Disciplinary history (Form ADV Item 11)

This adviser reports no Form ADV Item 11 disciplinary events.

About this data

Form ADV is the uniform registration form every investment adviser files with the U.S. Securities and Exchange Commission (and state regulators). Part 1A captures the firm's identity, assets under management, client base, custody arrangements, and disciplinary disclosures. This page mirrors the SEC's monthly firm-roster export with citations to the Investment Adviser Public Disclosure (IAPD) system, where the full brochure (Part 2) and disciplinary detail are available.

References

  1. U.S. Securities and Exchange Commission. Investment Adviser Public Disclosure — CRD 109203. adviserinfo.sec.gov/firm/summary/109203.
  2. SEC Form ADV firm roster (FOIA monthly export). sec.gov Form ADV data.

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