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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

NEW ENGLAND RESEARCH & MANAGEMENT, INC.

CRD 110739

CHICAGO, IL

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:964a9d20-6790-2ba2-92a5-44468898f5c1

Data as of Aug 25, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:01 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Feb 2, 2012 to Aug 25, 2026
21 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=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $337MItem 5.F on the latest filing (2026-08-25); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $336M
Private client RAUM: $330MderivedItem 5.D individuals plus high net worth individuals
Private client share: 98%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $112Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 4
Advisory employees: 3
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 408
Individual clients: 79
High net worth clients: 70
Custody, client assets: $211M
SEC number: 801-14380
CIK: 1596077
CRD: 110739
Filings on the tape: 21
First filed: Feb 2, 2012
Latest filed: Aug 25, 2026
Organised: Corporation, MA
Website: nerminc.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
MARGUERITE MARY COLLINS	n/a	CHICAGO, IL	16	38	n/a	no
David Gosnell	Chartered Financial Analyst	CHICAGO, IL	0	18	n/a	no
Sara Freer	n/a	CHICAGO, IL	0	20	n/a	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
COLLINS, MARGUERITE, MARY	PRESIDENT AND CHIEF COMPLIANCE OFFICER	E	yes	10/1990	Feb 2, 2012	Sep 20, 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
2024	Sep 20, 2024	$264M	$264M	4	3	0	n/a	n/a
2023	Sep 18, 2023	$262M	$261M	4	3	0	n/a	n/a
2022	Sep 15, 2022	$240M	$237M	4	3	0	n/a	n/a
2021	Sep 1, 2021	$265M	$262M	4	3	0	n/a	n/a
2020	Sep 28, 2020	$209M	$206M	4	3	0	n/a	n/a
2019	Aug 23, 2019	$201M	$197M	4	3	1	n/a	n/a
2018	Sep 19, 2018	$202M	$198M	4	3	1	n/a	n/a
2017	Sep 27, 2017	$199M	$195M	4	3	n/a	n/a	n/a
2016	Sep 22, 2016	$173M	$169M	4	3	n/a	n/a	n/a
2015	Sep 14, 2015	$171M	$171M	4	3	n/a	n/a	n/a
2014	Jul 5, 2014	$167M	$167M	5	3	n/a	n/a	n/a
2013	Sep 18, 2013	$143M	$143M	4	3	n/a	n/a	n/a
2012	Sep 19, 2012	$137M	$137M	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
2024	$337M	$262M	28.8%	$265M	8.3%	4	4	0	0

Relationships

Registered with (3)

← Sara FreerAdvisorregistration: current employment
Nov 13, 2025 to presentfactForm ADV
← David GosnellAdvisorregistration: current employment
Sep 25, 2025 to presentfactForm ADV
← MARGUERITE MARY COLLINSAdvisorregistration: current employment
Dec 17, 2009 to presentfactForm ADV

Controls (1)

← COLLINS, MARGUERITE, MARYOwnerPRESIDENT AND CHIEF COMPLIANCE OFFICER, ownership code E, individual
Feb 2, 2012 to Sep 20, 2024factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:964a9d20-6790-2ba2-92a5-44468898f5c1
First observed: Feb 2, 2012
Last observed: Aug 25, 2026 26 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 RESEARCH & MANAGEMENT, INC.

CRD 110739

CHICAGO, IL

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:964a9d20-6790-2ba2-92a5-44468898f5c1

Data as of Aug 25, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:01 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

MARGUERITE MARY COLLINS

n/a

CHICAGO, IL

n/a

David Gosnell

Chartered Financial Analyst

CHICAGO, IL

n/a

Sara Freer

n/a

CHICAGO, IL

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

COLLINS, MARGUERITE, MARY

PRESIDENT AND CHIEF COMPLIANCE OFFICER

yes

10/1990

Feb 2, 2012

Sep 20, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2024

Sep 20, 2024

$264M

n/a

2023

Sep 18, 2023

$262M

$261M

n/a

2022

Sep 15, 2022

$240M

$237M

n/a

2021

Sep 1, 2021

$265M

$262M

n/a

2020

Sep 28, 2020

$209M

$206M

n/a

2019

Aug 23, 2019

$201M

$197M

n/a

2018

Sep 19, 2018

$202M

$198M

n/a

2017

Sep 27, 2017

$199M

$195M

n/a

2016

Sep 22, 2016

$173M

$169M

n/a

2015

Sep 14, 2015

$171M

n/a

2014

Jul 5, 2014

$167M

n/a

2013

Sep 18, 2013

$143M

n/a

2012

Sep 19, 2012

$137M

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

2024

$337M

$262M

28.8%

$265M

8.3%