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.
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SEC-registered adviser
N•• E•••••• C•••••• F•••••••• A••••••• L••
Latest filing Aug 18, 2026
First filing on the tape Mar 29, 2012 · 29 filings
SEC status approved since Dec 30, 1999
RAUM
$768M
reported, Item 5.F
Discretionary
92%
of RAUM
Private clients
90%
$695M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$128M
derived; firm RAUM over IAPD count
Employees
12
12 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$768M as of Aug 18, 2026
Mar 29, 2012$126M then
HNW client RAUM$343M as of Aug 18, 2026
Mar 27, 2018$62.7M then
State-registered IARs (5.B.3)6 as of Aug 18, 2026
Mar 29, 20120 then
Employees (5.A)12 as of Aug 18, 2026
Feb 13, 20137 then
Private funds: no history
RAUM +28% over the last fiscal year+20% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Aug 18, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $128MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 199derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $246,089derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 92%derivedof RAUM
- Institutional
- 9.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.8%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, educational seminarsreportedItem 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
- Individuals$352M46%
- High-net-worth individuals$343M45%
- Pension and profit-sharing plans$63.9M8.3%
- Charitable organizations$6.8M0.9%
- Corporations and businesses$2.8M0.4%
- Individual clients
- 1,017reported
- HNW clients
- 176reported
- Pension plan clients
- 17reported
- Charitable clients
- 6reported
- Accounts
- 3,121reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.9 fund_share=0.0 institutional_share=0.09 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••••••••• M•••••• L••Certified Financial Planner | Cheshire, Ct | Apr 28, 1998 | 30 y | 0 |
| C••••••••• W•••••• B••••Certified Financial Planner | Cheshire, Ct | Jan 27, 2000 | 40 y | 0 |
| D••••• M• T••••• | Cheshire, Ct | Nov 15, 2005 | 24 y | 0 |
| A•• M•••• O••••Certified Financial Planner | Cheshire, Ct | May 25, 2012 | 19 y | 0 |
| L••• J••••• W••••••Certified Financial Planner | Cheshire, Ct | Apr 30, 2023 | 13 y | 1 |
| M•••••• C•••••••Certified Financial Planner | Cheshire, Ct | Apr 30, 2023 | 33 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- M•••••• R••• S•••••• to A•••••••• A••••••• G•••• I•••Mar 31, 2023 · RIA to RIA
- M••• J••• L••••• to U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••May 5, 2021 · RIA to RIA
Joined, latest
- L••• J••••• W•••••• from F•••••••• I••••••••• L••Apr 30, 2023 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• C••••••••• W•••••• · Managing Membercontrolsince 01/1999 · owns 75% or more
- L••• C••••••••• M•••••• · Membercontrolsince 01/2011 · owns 10% to 25%
- T•••••• D•••••• M• · Chief Compliance Officercontrolsince 01/2011 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Cheshire, Ct · principal | 6 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 3,067 to 3,121Mar 27, 2026 to Aug 18, 2026
- Charity clients · 5 to 6Mar 27, 2026 to Aug 18, 2026
- HNW clients · 173 to 176Mar 27, 2026 to Aug 18, 2026
- Individual clients · 1,012 to 1,017Mar 27, 2026 to Aug 18, 2026
- Pension plan clients · 18 to 17Mar 27, 2026 to Aug 18, 2026
- HQ city · SOUTH MERIDEN to CHESHIREMar 27, 2026 to Aug 18, 2026
- Discretionary RAUM · $625M to $710MMar 27, 2026 to Aug 18, 2026
- HNW RAUM · $304M to $343MMar 27, 2026 to Aug 18, 2026
- Individual RAUM · $306M to $352MMar 27, 2026 to Aug 18, 2026
- Non-discretionary RAUM · $48.3M to $58.4MMar 27, 2026 to Aug 18, 2026
- Pension RAUM · $55.8M to $63.9MMar 27, 2026 to Aug 18, 2026
- RAUM · $673M to $768MMar 27, 2026 to Aug 18, 2026
- Accounts · 2,152 to 3,067Mar 26, 2025 to Mar 27, 2026
- Advisory employees · 11 to 12Mar 26, 2025 to Mar 27, 2026
- Charity clients · 2 to 5Mar 26, 2025 to Mar 27, 2026
- HNW clients · 176 to 173Mar 26, 2025 to Mar 27, 2026
- Individual clients · 966 to 1,012Mar 26, 2025 to Mar 27, 2026
- Pension plan clients · 16 to 18Mar 26, 2025 to Mar 27, 2026
- Employees · 11 to 12Mar 26, 2025 to Mar 27, 2026
- Discretionary RAUM · $557M to $625MMar 26, 2025 to Mar 27, 2026
- HNW RAUM · $280M to $304MMar 26, 2025 to Mar 27, 2026
- Individual RAUM · $264M to $306MMar 26, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $42.8M to $48.3MMar 26, 2025 to Mar 27, 2026
- Pension RAUM · $51.3M to $55.8MMar 26, 2025 to Mar 27, 2026
- RAUM · $600M to $673MMar 26, 2025 to Mar 27, 2026
- Accounts · 2,708 to 2,152Feb 5, 2024 to Mar 26, 2025
- Charity clients · unset to 2.0Feb 5, 2024 to Mar 26, 2025
- Corporate clients · unset to 3.0Feb 5, 2024 to Mar 26, 2025
- HNW clients · 182 to 176Feb 5, 2024 to Mar 26, 2025
- Individual clients · 922 to 966Feb 5, 2024 to Mar 26, 2025
- Pension plan clients · 17 to 16Feb 5, 2024 to Mar 26, 2025
- Financial planning clients · 1-10 to 1-10Feb 5, 2024 to Mar 26, 2025
- Discretionary RAUM · $521M to $557MFeb 5, 2024 to Mar 26, 2025
- HNW RAUM · $264M to $280MFeb 5, 2024 to Mar 26, 2025
- Individual RAUM · $216M to $264MFeb 5, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $7.5M to $42.8MFeb 5, 2024 to Mar 26, 2025
- Pension RAUM · $44.1M to $51.3MFeb 5, 2024 to Mar 26, 2025
- RAUM · $529M to $600MFeb 5, 2024 to Mar 26, 2025
- Accounts · 2,479 to 2,708Mar 7, 2023 to Feb 5, 2024
- Advisory employees · 10 to 11Mar 7, 2023 to Feb 5, 2024
Signals
1 dated events
- Matthew Ryan Sczurek left New England Capital Financial Advisors Llc for Armstrong Advisory Group Inc. (registered 2023-08-02)Mar 31, 2023 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- info@newenglandcapital.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- service@newenglandcapital.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 203-935-0265reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 203-935-0266reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/NEW-ENGLAND-CAPITAL-FINANCIAL-ADVISORS-reportedpublic record, Form ADV, Sep 18, 2026
- Website
- NEWENGLANDCAPITAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 203-935-0265reportedpublic record, Form ADV, Aug 18, 2026
- Contact form
- newenglandcapital.com/contactreportedpublished by the firm, firm site, Sep 17, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $128Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026