DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

New England Capital

Former SEC-registered adviserNorthampton, MassachusettsCRD 106518SEC 801-45616IAPD
Legal name Gage Wiley Group Inc
Latest filing Nov 4, 2019
First filing on the tape Mar 21, 2012 · 17 filings
RAUM
$314M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
97%
$305M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
12
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$314M as of Mar 29, 2019
Mar 21, 2012$160M then
HNW client RAUM$267M as of Mar 29, 2019
Mar 29, 2018$239M then
State-registered IARs (5.B.3)6 as of Mar 29, 2019
Mar 21, 20120 then
Employees (5.A)12 as of Mar 29, 2019
Apr 1, 201313 then
Private funds: no history
RAUM +3.4% over the last fiscal year+11% a year over threeIARs 5 to 6
Practice profile
derived from the filing of Nov 4, 2019; every figure names its basis
RAUM per advisor
$52.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
62derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.0MderivedHNW RAUM over HNW clients
Average account
$827,586derivedRAUM over accounts (5.F.2.f)
Discretionary
93%derivedof RAUM
Institutional
3.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
3.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+3.4%derivedbetween the last two annual amendments
Advisor growth, one year
+20%derivedItem 5.B.3 between annual amendments
Client growth, one year
-2.9%derived
Compensation
percentage of assets, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$267M85%
  • Individuals$37.7M12%
  • Charitable organizations$9.8M3.1%
Individual clients
235reported
HNW clients
134reported
Pension plan clients
n/areported
Charitable clients
11reported
Accounts
380reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Booth Christopher Milne · President, Ceo/Ccocontrol
      since 12/1988 · owns 75% or more
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 387 to 380
      Mar 26, 2019 to Mar 29, 2019
    • Advisory employees · 5 to 6
      Mar 26, 2019 to Mar 29, 2019
    • BD registered reps · 11 to 6
      Mar 26, 2019 to Mar 29, 2019
    • Charity clients · 7 to 11
      Mar 26, 2019 to Mar 29, 2019
    • HNW clients · 125 to 134
      Mar 26, 2019 to Mar 29, 2019
    • Individual clients · 255 to 235
      Mar 26, 2019 to Mar 29, 2019
    • State-registered IARs · 5 to 6
      Mar 26, 2019 to Mar 29, 2019
    • Discretionary RAUM · $285M to $293M
      Mar 26, 2019 to Mar 29, 2019
    • HNW RAUM · $239M to $267M
      Mar 26, 2019 to Mar 29, 2019
    • Individual RAUM · $56.1M to $37.7M
      Mar 26, 2019 to Mar 29, 2019
    • Non-discretionary RAUM · $19.6M to $21.0M
      Mar 26, 2019 to Mar 29, 2019
    • RAUM · $304M to $314M
      Mar 26, 2019 to Mar 29, 2019
    • Accounts · 367 to 387
      Apr 6, 2017 to Mar 29, 2018
    • Charity clients · unset to 7.0
      Apr 6, 2017 to Mar 29, 2018
    • HNW clients · unset to 125.0
      Apr 6, 2017 to Mar 29, 2018
    • Individual clients · unset to 255.0
      Apr 6, 2017 to Mar 29, 2018
    • Other offices · unset to 1.0
      Apr 6, 2017 to Mar 29, 2018
    • Discretionary RAUM · $252M to $285M
      Apr 6, 2017 to Mar 29, 2018
    • HNW RAUM · unset to 238846035.0
      Apr 6, 2017 to Mar 29, 2018
    • Individual RAUM · unset to 56118210.0
      Apr 6, 2017 to Mar 29, 2018
    • Non-discretionary RAUM · $17.6M to $19.6M
      Apr 6, 2017 to Mar 29, 2018
    • RAUM · $270M to $304M
      Apr 6, 2017 to Mar 29, 2018
    • Accounts · 339 to 367
      Mar 30, 2016 to Mar 30, 2017
    • Discretionary RAUM · $217M to $252M
      Mar 30, 2016 to Mar 30, 2017
    • Non-discretionary RAUM · $13.4M to $17.6M
      Mar 30, 2016 to Mar 30, 2017
    • RAUM · $230M to $270M
      Mar 30, 2016 to Mar 30, 2017
    • Accounts · 316 to 339
      Mar 31, 2015 to Mar 30, 2016
    • Discretionary RAUM · $230M to $217M
      Mar 31, 2015 to Mar 30, 2016
    • Non-discretionary RAUM · $13.5M to $13.4M
      Mar 31, 2015 to Mar 30, 2016
    • RAUM · $244M to $230M
      Mar 31, 2015 to Mar 30, 2016
    • Accounts · 254 to 316
      Apr 2, 2014 to Mar 31, 2015
    • Discretionary RAUM · $215M to $230M
      Apr 2, 2014 to Mar 31, 2015
    • Non-discretionary RAUM · $9.3M to $13.5M
      Apr 2, 2014 to Mar 31, 2015
    • RAUM · $225M to $244M
      Apr 2, 2014 to Mar 31, 2015
    • Accounts · 241 to 254
      Oct 1, 2013 to Apr 2, 2014
    • BD registered reps · 9 to 11
      Oct 1, 2013 to Apr 2, 2014
    • Discretionary RAUM · $162M to $215M
      Oct 1, 2013 to Apr 2, 2014
    • Non-discretionary RAUM · $4.5M to $9.3M
      Oct 1, 2013 to Apr 2, 2014
    • RAUM · $166M to $225M
      Oct 1, 2013 to Apr 2, 2014
    • BD registered reps · 10 to 9
      Apr 1, 2013 to Oct 1, 2013
    Signals
    No event on the tape.
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    Provenance
    Form ADV
    SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
    Advisors
    IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
    Class
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026