DFX Intelligence

Data Factory

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

NEW ENGLAND GUILD WEALTH ADVISORS, INC.

CRD 106400

AVON, 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:54c779e7-f0d5-6034-ecef-fa99c10499f6

Data as of Jan 27, 2023 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:18 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 7
On other graphs: 0
Observed: Mar 28, 2012 to Jan 27, 2023
27 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $397MItem 5.F on the latest filing (2023-01-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $397M
Private client RAUM: $385MderivedItem 5.D individuals plus high net worth individuals
Private client share: 97%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7
Advisory employees: 4
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 716
Individual clients: 64
High net worth clients: 116
Custody, client assets: $24.3M
SEC number: 801-39648
CRD: 106400
Filings on the tape: 27
First filed: Mar 28, 2012
Latest filed: Jan 27, 2023
Organised: Corporation, Connecticut

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
FITZGERALD, BRENDAN, FRANCIS	PRINCIPAL, CORPORATE SECRETARY	Na	yes	02/2020	Mar 3, 2020	Jan 27, 2023
GRAYSON, SUSAN, MARY	Principal	Na	yes	10/2016	Mar 28, 2012	Jan 27, 2023
LOGUE, ERNEST, PATRICK	PRINCIPAL, CFO, PRESIDENT, DIRECTOR	E	yes	07/1995	Mar 28, 2012	Jan 27, 2023
PFEIFFER, WILLIAM, ROBERT	PRINCIPAL, CCO	Na	yes	02/2020	Mar 3, 2020	Jan 27, 2023

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
2021	Mar 11, 2022	$397M	$397M	7	4	0	n/a	n/a
2020	Mar 5, 2021	$352M	$352M	6	4	0	n/a	n/a
2019	Mar 3, 2020	$329M	$329M	6	4	0	n/a	n/a
2018	Mar 11, 2019	$279M	$279M	6	4	0	n/a	n/a
2017	Mar 8, 2018	$394M	$393M	5	5	0	n/a	n/a
2016	Mar 10, 2017	$346M	$345M	5	5	n/a	n/a	n/a
2015	Mar 10, 2016	$341M	$341M	5	5	n/a	n/a	n/a
2014	Apr 1, 2015	$359M	$359M	5	5	n/a	n/a	n/a
2013	Mar 21, 2014	$344M	$343M	6	5	n/a	n/a	n/a
2012	Mar 28, 2013	$297M	$296M	6	4	n/a	n/a	n/a
2011	Mar 28, 2012	$273M	$273M	n/a	n/a	n/a	n/a	n/a

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
2021	$397M	$352M	12.6%	$279M	12.4%	7	6	0	0

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
CONNECTICUT WEALTH MANAGEMENT, LLC	2	Dec 31, 2022	Feb 8, 2023	HARTFORD, CT	Team lift out	RIA to RIA	66.7%

Relationships

Controls (4)

← LOGUE, ERNEST, PATRICKOwnerPRINCIPAL, CFO, PRESIDENT, DIRECTOR, ownership code E, individual
Mar 28, 2012 to presentfactForm ADV
← GRAYSON, SUSAN, MARYOwnerPRINCIPAL, ownership code NA, individual
Mar 28, 2012 to presentfactForm ADV
← FITZGERALD, BRENDAN, FRANCISOwnerPRINCIPAL, CORPORATE SECRETARY, ownership code NA, individual
Mar 3, 2020 to presentfactForm ADV
← PFEIFFER, WILLIAM, ROBERTOwnerPRINCIPAL, CCO, ownership code NA, individual
Mar 3, 2020 to presentfactForm ADV

Moved with (1)

→ CONNECTICUT WEALTH MANAGEMENT, LLCRegistered adviser2 advisors, team lift out, same day
Dec 31, 2022 to Feb 8, 2023factForm ADV

Registered with (5)

← BRENDAN FRANCIS FITZGERALDAdvisorregistration: previous registration
Mar 27, 2015 to Dec 31, 2022factForm ADV
← William Robert PfeifferAdvisorregistration: previous registration
Jan 15, 2014 to Dec 31, 2022factForm ADV
← Alexander Robert RomejkoAdvisorregistration: previous registration
Apr 22, 2022 to Dec 31, 2022factForm ADV
← HAROLD LILBURN RIVESAdvisorregistration: previous registration
Aug 23, 1991 to May 2, 2018factForm ADV
← JAMES LAWRENCE LIDDYAdvisorregistration: previous registration
Mar 25, 2008 to Nov 23, 2011factForm ADV

Dated events

Occurred
Dec 31, 2022
Team lift-out
2 advisors left New England Guild Wealth Advisors, Inc. (Hartford, CT) for Connecticut Wealth Management, LLC on the same day
Form ADVobserved 4 days ago
2 advisors
Occurred
Dec 31, 2022
Advisor changed firm
William Robert Pfeiffer left New England Guild Wealth Advisors, Inc. for Ridgepoint Wealth Advisors Llc (registered 2023-02-23)
Form ADVobserved 4 days ago
Occurred
Dec 31, 2022
Advisor changed firm
Brendan Francis Fitzgerald left New England Guild Wealth Advisors, Inc. for Connecticut Wealth Management, Llc (registered 2023-02-08)
Form ADVobserved 4 days ago
Occurred
Dec 31, 2022
Advisor changed firm
Alexander Robert Romejko left New England Guild Wealth Advisors, Inc. for Connecticut Wealth Management, Llc (registered 2023-02-07)
Form ADVobserved 4 days ago
Occurred
Mar 3, 2020
Control person joined
Francis Brendan Fitzgerald (Principal, Corporate Secretary) appeared on Schedule A of New England Guild Wealth Advisors, Inc.
Form ADVobserved 4 days ago
Occurred
Mar 3, 2020
Control person joined
Robert William Pfeiffer (Principal, Cco) appeared on Schedule A of New England Guild Wealth Advisors, Inc.
Form ADVobserved 4 days ago
Occurred
Mar 11, 2019
Regulatory AUM changed
New England Guild Wealth Advisors, Inc. reported RAUM $279.5M, down 29% from $393.8M (2018-05-02 to 2019-03-11)
Form ADVobserved 4 days ago
$-114M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:54c779e7-f0d5-6034-ecef-fa99c10499f6
First observed: Mar 28, 2012
Last observed: Jan 27, 2023 44 months 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 GUILD WEALTH ADVISORS, INC.

CRD 106400

AVON, 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:54c779e7-f0d5-6034-ecef-fa99c10499f6

Data as of Jan 27, 2023 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:18 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

FITZGERALD, BRENDAN, FRANCIS

PRINCIPAL, CORPORATE SECRETARY

yes

02/2020

Mar 3, 2020

Jan 27, 2023

GRAYSON, SUSAN, MARY

Principal

yes

10/2016

Mar 28, 2012

Jan 27, 2023

LOGUE, ERNEST, PATRICK

PRINCIPAL, CFO, PRESIDENT, DIRECTOR

yes

07/1995

Mar 28, 2012

Jan 27, 2023

PFEIFFER, WILLIAM, ROBERT

PRINCIPAL, CCO

yes

02/2020

Mar 3, 2020

Jan 27, 2023

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2021

Mar 11, 2022

$397M

n/a

2020

Mar 5, 2021

$352M

n/a

2019

Mar 3, 2020

$329M

n/a

2018

Mar 11, 2019

$279M

n/a

2017

Mar 8, 2018

$394M

$393M

n/a

2016

Mar 10, 2017

$346M

$345M

n/a

2015

Mar 10, 2016

$341M

n/a

2014

Apr 1, 2015

$359M

n/a

2013

Mar 21, 2014

$344M

$343M

n/a

2012

Mar 28, 2013

$297M

$296M

n/a

2011

Mar 28, 2012

$273M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2021

$397M

$352M

12.6%

$279M

12.4%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

CONNECTICUT WEALTH MANAGEMENT, LLC

Dec 31, 2022

Feb 8, 2023

HARTFORD, CT

Team lift out

RIA to RIA

66.7%