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NEW ENGLAND CAPITAL FINANCIAL ADVISORS LLC
CRD 109203File 801-57122
APPROVED
Retail clients
Filing as of Aug 18, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$768.0M
Above cohort median (national)
Discretionary AUM
$709.7M
Non-discretionary $58.4M
Clients
1,219
3,121 accounts
Employees
12
Below cohort median in CT
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- BRO
- Registration date
- Dec 30, 1999
- Principal office
- 1781 HIGHLAND AVE STE 102, CHESHIRE, CT, 06410-1254
- Phone
- 203-935-0265
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $768.0M
- Discretionary AUM
- $709.7M
- Non-discretionary AUM
- $58.4M
- Discretionary accounts
- 3,106
- Non-discretionary accounts
- 15
- Total accounts
- 3,121
- AUM per client
- $630K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | Fewer than 5 | $2.8M |
| Charitable organizations | 6 | $6.8M |
| High net worth individuals | 176 | $343.0M |
| Pension and profit sharing plans | 17 | $63.9M |
| Individuals (other than high net worth individuals) | 1,017 | $351.5M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Hourly charges
- A percentage of assets under your management
Advisory activities
- Other
- Financial planning services
- Portfolio management for other
- Portfolio management for businesses
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Aug 23, 2026 | Clients | 1,211 | 1,219 | increased by8 |
| Aug 23, 2026 | AUM | $673,011,670 | $768,042,602 | increased by$95,030,932 |
| Aug 23, 2026 | Accounts | 3,067 | 3,121 | increased by54 |
| Apr 1, 2026 | Employees | 11 | 12 | increased by1 |
| Apr 1, 2026 | Clients | 1,163 | 1,211 | increased by48 |
| Apr 1, 2026 | AUM | $600,040,689 | $673,011,670 | increased by$72,970,981 |
| Apr 1, 2026 | Accounts | 2,152 | 3,067 | increased by915 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 9 | 11 | increased by2 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 1,061 | 1,163 | increased by102 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $441,626,951 | $600,040,689 | increased by$158,413,738 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 2,365 | 2,152 | decreased by213 |
| Apr 1, 2022 | Clients | 1,139 | 1,061 | decreased by78 |
| Apr 1, 2022 | AUM | $439,519,711 | $441,626,951 | increased by$2,107,240 |
| Apr 1, 2022 | Accounts | 2,516 | 2,365 | decreased by151 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “NEW ENGLAND” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“NEW ENGLAND” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.