New England Capital Financial Advisors LLC
Firm details
- Headquarters
- Meriden, Connecticut
- CRD number
- 109203
- Registered since
- December 30, 1999
- Website
- www.newenglandcapital.com
- Custodians
- NATIONAL FINANCIAL SERVICES LLC, CHARLES SCHWAB & CO., INC.
- Fee structure
- Percentage of AUM, Hourly Charges, Fixed Fees
- Client types
- Individuals45.51%
- HNWI45.22%
- Pension & Profit Sharing Plans8.3%
- Charitable Organizations0.74%
- Corporations / Businesses0.23%
- Services
- Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional ClientsPension ConsultingEducational Seminars / Workshops
Firm profile
FINTRXOverview
New England Capital Financial Advisors LLC is an independent, SEC-registered RIA (registered since 1999) organized as an LLC and owned by an individual. The firm serves both individual/family and institutional clients and offers a mix of fee arrangements including percentage-of-AUM, hourly, and fixed fees. Core advisory services include financial planning, discretionary portfolio management for individuals, small businesses and institutions, pension consulting, and educational seminars/workshops. The firm does not identify as an active ESG investor and is not classified as a multi-state adviser.
Assets & Accounts
Public Holdings
Investments & Alternatives
Location & Offices
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- Public Funds/Mutual Funds59%
- Exchange Traded Equities36%
- Private Funds4%
- US Government Bonds1%
- State & Local Bonds1%
Owners & executives
2 of 2
Christopher Beale
Founder, Owner and CEOCRD 1219495
Darren Tapley
Chief Compliance OfficerCRD 4751707
Contacts
3 of 4
Christopher Lee
Co-OwnerCRD 2699763
Ann Marie Ocone
Financial AdvisorCRD 5283747
Liam Wallace
Associate AdvisorCRD 7414980
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 115Active vs passive
$576M in ETFs
27%
$156M
55%
$420M
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| HARTFORD STRATEGIC INCOME ETF (HFSI) | $96.4M | 2,742,268 | 16.73% |
Location
Meriden, CT
New Haven
Location
Meriden, CT
Headquartered in Meriden, CT, anchoring the New York-Newark, NY-NJ-CT-PA metro in the Northeast.
- Metro area
- New York-Newark, NY-NJ-CT-PA
- Region
- Northeast
- County
- New Haven
- Address
- 79 Main St
- Time zone
- ET (UTC-5)
- Office locations
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