New England Capital Financial Advisors LLC
● SEC registered since 1999CRD 109203SEC# 801-57122Cheshire, CT
Reg. AUM
$768M
Employees
12
Accounts
3,121
Location
Cheshire, CT
New England Capital Financial Advisors LLC assets under management
New England Capital Financial Advisors LLC is a registered investment adviser overseen by the SEC based in Cheshire, CT. The firm has been registered since 1999. It reports $768 million in regulatory assets under management and employs 12 people.
New England Capital Financial Advisors LLC owners & executives
4 reported| Name | Title | Ownership | Since |
|---|---|---|---|
| Ann Marie Ocone Control | Member | 5-10% | 2025 |
| Christopher Michael Lee Control | Member | 10-25% | 2011 |
| Christopher William Beale Control | Managing Member | Over 75% | 1999 |
| Darren M Tapley Control | Chief Compliance Officer | Under 5% | 2011 |
Frequently asked questions
How much does New England Capital Financial Advisors LLC manage?
New England Capital Financial Advisors LLC reports $768 million in regulatory assets under management on its Form ADV.
How many employees does New England Capital Financial Advisors LLC have?
New England Capital Financial Advisors LLC reports 12 employees.
Where is New England Capital Financial Advisors LLC located?
New England Capital Financial Advisors LLC is based in Cheshire, CT and has been SEC-registered since 1999.
Does New England Capital Financial Advisors LLC disclose fund performance?
New England Capital Financial Advisors LLC is not required to publicly disclose fund returns. Form ADV filings include assets, ownership, and service providers, shown above.
Contact & registration
| Address | 1781 Highland Ave Ste 102, Cheshire, CT 06410-1254 |
| Phone | 203-935-0265 |
| Fax | 203-935-0266 |
| Office hours | 8:30a.m. - 5:00p.m. |
| SEC region | Boston Regional Office (BRO) |
| CIK | 196465 |
| Discloses disciplinary history | No |
Regulatory AUM
$768M▲ 28%
Mar '25Form ADV, monthlyAug '26
How this firm compares
Regulatory AUMTop 38%
Larger than 62% of 16,340 advisers
EmployeesTop 35%
More than 65% of 16,820 advisers
Assets under management
$768Mregulatory AUM
Discretionary $709.7MNon-discretionary $58.4M