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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

NEW ENGLAND CAPITAL FINANCIAL ADVISORS LLC

CRD 109203

CHESHIRE, CT

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:474f0b72-e18e-8bed-ff81-efc8c3189659

Data as of Aug 18, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:10 AM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 1
On other graphs: 0
Observed: Mar 29, 2012 to Aug 18, 2026
29 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.9 fund_share=0.0 institutional_share=0.09 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $768MItem 5.F on the latest filing (2026-08-18); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $710M
Private client RAUM: $695MderivedItem 5.D individuals plus high net worth individuals
Private client share: 90%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 6
RAUM per advisor: $128Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 12
Advisory employees: 12
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 3,121
Individual clients: 1,017
High net worth clients: 176
SEC number: 801-57122
CIK: 196465
CRD: 109203
Filings on the tape: 29
First filed: Mar 29, 2012
Latest filed: Aug 18, 2026
Organised: Limited Liability Company, CT
Website: newenglandcapital.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
CHRISTOPHER MICHAEL LEE	Certified Financial Planner	CHESHIRE, CT	28	30	n/a	no
CHRISTOPHER WILLIAM BEALE	Certified Financial Planner	CHESHIRE, CT	26	40	n/a	no
DARREN M TAPLEY	n/a	CHESHIRE, CT	20	24	n/a	no
ANN MARIE OCONE	Certified Financial Planner	CHESHIRE, CT	14	19	n/a	no
Matthew Carreras	Certified Financial Planner	CHESHIRE, CT	3	33	n/a	no
Liam Joseph Wallace	Certified Financial Planner	CHESHIRE, CT	3	13	1	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
BEALE, CHRISTOPHER, WILLIAM	MANAGING MEMBER	E	yes	01/1999	Mar 29, 2012	Feb 5, 2024
LEE, CHRISTOPHER, MICHAEL	Member	B	yes	01/2011	Mar 29, 2012	Feb 5, 2024
TAPLEY, DARREN, M	CHIEF COMPLIANCE OFFICER	Na	yes	01/2011	Mar 29, 2012	Feb 5, 2024

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 27, 2026	$673M	$625M	12	12	0	n/a	n/a
2024	Mar 26, 2025	$600M	$557M	11	11	0	n/a	n/a
2023	Feb 5, 2024	$529M	$521M	11	11	0	n/a	n/a
2022	Mar 7, 2023	$441M	$409M	10	10	0	n/a	n/a
2021	Mar 17, 2022	$442M	$409M	9	9	0	n/a	n/a
2020	Feb 4, 2021	$440M	$432M	9	9	2	n/a	n/a
2019	Feb 28, 2020	$363M	$333M	11	10	1	n/a	n/a
2018	Mar 19, 2019	$327M	$301M	11	10	1	n/a	n/a
2017	Mar 27, 2018	$302M	$277M	9	8	1	n/a	n/a
2016	Mar 20, 2017	$260M	$235M	9	8	n/a	n/a	n/a
2015	Mar 18, 2016	$211M	$191M	8	7	n/a	n/a	n/a
2014	Mar 24, 2015	$219M	$199M	8	7	n/a	n/a	n/a
2013	Mar 17, 2014	$162M	$162M	7	6	n/a	n/a	n/a
2012	Feb 13, 2013	$142M	$142M	7	6	n/a	n/a	n/a
2011	Mar 29, 2012	$126M	$126M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$768M	$600M	28.0%	$441M	20.4%	12	11	0	0

Relationships

Registered with (8)

← Matthew CarrerasAdvisorregistration: current employment
Apr 30, 2023 to presentfactForm ADV
← Liam Joseph WallaceAdvisorregistration: current employment
Apr 30, 2023 to presentfactForm ADV
← ANN MARIE OCONEAdvisorregistration: current employment
May 25, 2012 to presentfactForm ADV
← DARREN M TAPLEYAdvisorregistration: current employment
Nov 15, 2005 to presentfactForm ADV
← CHRISTOPHER WILLIAM BEALEAdvisorregistration: current employment
Jan 27, 2000 to presentfactForm ADV
← CHRISTOPHER MICHAEL LEEAdvisorregistration: current employment
Apr 28, 1998 to presentfactForm ADV
← Matthew Ryan SczurekAdvisorregistration: previous registration
Feb 7, 2017 to Mar 31, 2023factForm ADV
← MARC JOHN LIBEROAdvisorregistration: previous registration
Apr 28, 1998 to May 5, 2021factForm ADV

Controls (3)

← BEALE, CHRISTOPHER, WILLIAMOwnerMANAGING MEMBER, ownership code E, individual
Mar 29, 2012 to Feb 5, 2024factForm ADV
← LEE, CHRISTOPHER, MICHAELOwnerMEMBER, ownership code B, individual
Mar 29, 2012 to Feb 5, 2024factForm ADV
← TAPLEY, DARREN, MOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 29, 2012 to Feb 5, 2024factForm ADV

Dated events

Occurred
Mar 31, 2023
Advisor changed firm
Matthew Ryan Sczurek left New England Capital Financial Advisors Llc for Armstrong Advisory Group Inc. (registered 2023-08-02)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:474f0b72-e18e-8bed-ff81-efc8c3189659
First observed: Mar 29, 2012
Last observed: Aug 18, 2026 33 days ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

NEW ENGLAND CAPITAL FINANCIAL ADVISORS LLC

CRD 109203

CHESHIRE, CT

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:474f0b72-e18e-8bed-ff81-efc8c3189659

Data as of Aug 18, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:10 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

CHRISTOPHER MICHAEL LEE

Certified Financial Planner

CHESHIRE, CT

n/a

CHRISTOPHER WILLIAM BEALE

Certified Financial Planner

CHESHIRE, CT

n/a

DARREN M TAPLEY

n/a

CHESHIRE, CT

n/a

ANN MARIE OCONE

Certified Financial Planner

CHESHIRE, CT

n/a

Matthew Carreras

Certified Financial Planner

CHESHIRE, CT

n/a

Liam Joseph Wallace

Certified Financial Planner

CHESHIRE, CT

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BEALE, CHRISTOPHER, WILLIAM

MANAGING MEMBER

yes

01/1999

Mar 29, 2012

Feb 5, 2024

LEE, CHRISTOPHER, MICHAEL

Member

yes

01/2011

Mar 29, 2012

Feb 5, 2024

TAPLEY, DARREN, M

CHIEF COMPLIANCE OFFICER

yes

01/2011

Mar 29, 2012

Feb 5, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 27, 2026

$673M

$625M

n/a

2024

Mar 26, 2025

$600M

$557M

n/a

2023

Feb 5, 2024

$529M

$521M

n/a

2022

Mar 7, 2023

$441M

$409M

n/a

2021

Mar 17, 2022

$442M

$409M

n/a

2020

Feb 4, 2021

$440M

$432M

n/a

2019

Feb 28, 2020

$363M

$333M

n/a

2018

Mar 19, 2019

$327M

$301M

n/a

2017

Mar 27, 2018

$302M

$277M

n/a

2016

Mar 20, 2017

$260M

$235M

n/a

2015

Mar 18, 2016

$211M

$191M

n/a

2014

Mar 24, 2015

$219M

$199M

n/a

2013

Mar 17, 2014

$162M

n/a

2012

Feb 13, 2013

$142M

n/a

2011

Mar 29, 2012

$126M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$768M

$600M

28.0%

$441M

20.4%