Data / Investment advisers / Connecticut / New England Capital Financial Advisors LLC
New England Capital Financial Advisors LLC, Cheshire, CT: $768 million AUM, SEC registered investment adviser
Updated November 7, 2026. Source: the SEC's Form ADV data files for investment advisers.
New England Capital Financial Advisors LLC is an SEC registered investment adviser with its main office in Cheshire, Connecticut and reports $768 million in regulatory assets under management in its Form ADV filed August 18, 2026. Its clients include individuals, high net worth individuals and pension and profit sharing plans. It is paid through a percentage of assets under management, hourly charges and fixed fees.
The request: Watch New England Capital Financial Advisors LLC (CRD number 109203): each new Form ADV amendment, with AUM, clients and private funds. $10 of work on sign-up, no card.
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- Registration
- SEC registered investment adviser
- CRD number
- 109203
- SEC file number
- 801-57122
- SEC status
- Approved, effective December 30, 1999
- Main office
- 1781 Highland Ave Ste 102, Cheshire, CT 06410
- Phone
- (203) 935-0265
- Website
- newenglandcapital.com
- Regulatory AUM
- $768,042,602 in the Form ADV filed August 18, 2026
- Discretionary AUM
- $709,690,366
- Non discretionary AUM
- $58,352,236
- Accounts
- 3,121
- Employees
- 12, of which 12 give investment advice
- Form of organization
- Limited Liability Company
- Paid through
- a percentage of assets under management, hourly charges, fixed fees
- Form ADV Item 11 disclosures
- None reported
- Latest Form ADV filing
- August 18, 2026
- SEC record
- Investment Adviser Public Disclosure
Clients
Client types the adviser reports in Form ADV item 5.D, with the AUM it attributes to each.
| Client type | Clients | AUM |
|---|---|---|
| Individuals (other than high net worth individuals) | 1,017 | $351.5 million |
| High net worth individuals | 176 | $343 million |
| Pension and profit sharing plans | 17 | $63.9 million |
| Charitable organizations | 6 | $6.8 million |
| Corporations or other businesses | 3 | $2.8 million |
AUM in the SEC's monthly files
Each change in the AUM the adviser reported across the monthly SEC files held here, with the first file that shows the new value.
| First in the file of | AUM | Form ADV filed |
|---|---|---|
| September 1, 2026 | $768 million | August 18, 2026 |
| April 1, 2026 | $673 million | March 27, 2026 |
| December 1, 2025 | $600 million | March 26, 2025 |
Other advisers in Connecticut
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| Gilman Hill Asset Management, LLC | New Canaan | $1.24 billion | Not listed | adviserinfo.sec.gov |
| Ge Vernova Investment Advisers, LLC | Stamford | $1.24 billion | Not listed | adviserinfo.sec.gov |
| Themes Management Company LLC | Greenwich | $1.23 billion | Not listed | adviserinfo.sec.gov |
| Mountain Point Credit Management LLC | Greenwich | $1.22 billion | 4 | adviserinfo.sec.gov |
| Wright Investors Service Inc | Shelton | $1.21 billion | Not listed | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in Connecticut
- Advisers with $500 million to $1 billion in AUM
- Advisers serving individuals
- Advisers serving high net worth individuals
- New England Capital Financial Advisors LLC on the SEC's adviser search
Public data published by the US Securities and Exchange Commission (US government work). Advisers report these values themselves in Form ADV, and neither the SEC nor the states approve or guarantee them. AUM is regulatory assets under management as the adviser reported it in Form ADV item 5.F, which can differ from the AUM a firm quotes elsewhere. Exempt reporting advisers do not report AUM. Office address, phone and website are the adviser's main office as filed; a firm that files its main office as a private residence shows no street address or phone. An Item 11 disclosure is a reported event, not a finding about the firm today. Details for each firm are on the SEC's Investment Adviser Public Disclosure site. This page uses SEC data and is not endorsed or certified by the SEC. Free to reuse with credit to SpecStream under CC BY 4.0. Spot a wrong value? Write to [email protected] with the link to this page.