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 Securities Corporation

Former SEC-registered adviserNew York, New YorkCRD 615SEC 801-47061IAPD
Latest filing Dec 23, 2014
First filing on the tape Mar 26, 2012 · 24 filings
RAUM
$5.3B
reported, Item 5.F
Discretionary
16%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2,514
1,396 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$5.3B as of Dec 23, 2014
Mar 26, 2012$2.6B then
HNW client RAUM: no history
State-registered IARs (5.B.3)1,330 as of Dec 23, 2014
Mar 26, 20120 then
Employees (5.A)2,514 as of Dec 23, 2014
Mar 22, 20133,802 then
Private funds: no history
RAUM +6.0% over the last fiscal year+27% a year over threeIARs 1,804 to 1,330
Practice profile
derived from the filing of Dec 23, 2014; every figure names its basis
RAUM per advisor
$4.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$151,756derivedRAUM over accounts (5.F.2.f)
Discretionary
16%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.9derivedItem 5.A over advisors
Advisors per office
221.7derived6 offices incl. principal (1.F.5)
RAUM growth, one year
+6.0%derivedbetween the last two annual amendments
Advisor growth, one year
-26%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
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, selection of other advisers, educational seminarsreportedItem 5.G
Financial planning clients
1,500reportedItem 5.H
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
  • is a broker-dealer (6.A.1)
  • is an insurance broker or agent (6.A.6)
  • 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
35,099reported
Financial planning clients
1,500reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, 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
Left, latest
Joined, latest
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
    • Marc Allan Cohn · Chief Compliance Officer, Investment Advisercontrol
      since 09/2006 · owns less than 5%
    • Orlando Rafael Jr Cruz · President And Chairmancontrol
      since 12/2014 · owns less than 5%
    • Elizabeth Mary Forget · Director And Chairmancontrol
      since 06/2013 · owns less than 5%
    • Jeffrey Paul Halperin · Anti-Money Laundering Officercontrol
      since 08/2006 · owns less than 5%
    • Tina Marie Honkus · Vice-President, Licensing And Registrationcontrol
      since 12/2014 · owns less than 5%
    • Michael J Lacek · Chief Legal Officercontrol
      since 03/2008 · owns less than 5%
    • Paul Anthony Lapiana · Directorcontrol
      since 06/2012 · owns less than 5%
    • John Gregory Martinez · Vice President And Financial Operations Principalcontrol
      since 01/2007 · owns less than 5%
    • David Myers Mink · Chief Operations Officercontrol
      since 09/2014 · owns less than 5%
    • Sean Andrew Murphy · Vice-Presidentcontrol
      since 07/2014 · owns less than 5%
    • Tyla Lynn Reynolds · Secretarycontrol
      since 03/2014 · owns less than 5%
    Entity owners
    • New England Life Insurance Company ("Nelico" Or "New England Financial") · 100% Shareholder
      direct · owns 75% or more
    • Metlife, Inc. · 100% Shareholder
      indirect · owns 75% or more of Metropolitan Life Insurance Company · public reporting company
    • Metropolitan Life Insurance Company ("Metlife") · Sole Stock Holder
      indirect · owns 75% or more of Nelico
    Related persons
    Schedule D 7.A
    • First Metlife Investors Insurance Company
      real estaten
    • General American Life Insurance Company
      real estaten
    • Brighthouse Investment Advisers, LLC
      investment advisernRAUM $133B
    • Metlife Insurance Company Of Connecticut
      real estaten
    • Metlife Investors Distribution Company
      broker-dealern
    • Metlife Investors Insurance Company
      real estaten
    • Metlife Investors USA Insurance Company
      real estaten
    • Msi Financial Services, Inc.
      broker-dealerinvestment adviserLP sponsorreal estatenRAUM $14B
    • Metropolitan Life Insurance Company
      real estaten
    • Metropolitan Tower Life Insurance Company
      real estaten
    • New England Life Insurance Company
      real estatey
    Advisers that list New England Securities Corporation as a related person
    Offices
    Schedule D 1.F, the 25 largest
    • Boston, MA
    • Memphis, TN
    • Newtown Square, PA
    • Wall Township, NJ
    • Williamsville, NY
    What changed
    consecutive filings, newest first
    • Accounts · 33,643 to 35,099
      Dec 22, 2014 to Dec 23, 2014
    • Advisory employees · 1,951 to 1,396
      Dec 22, 2014 to Dec 23, 2014
    • BD registered reps · 1,954 to 1,815
      Dec 22, 2014 to Dec 23, 2014
    • Employees · 2,993 to 2,514
      Dec 22, 2014 to Dec 23, 2014
    • Insurance-licensed employees · 220 to 1,442
      Dec 22, 2014 to Dec 23, 2014
    • State-registered IARs · 1,804 to 1,330
      Dec 22, 2014 to Dec 23, 2014
    • Discretionary RAUM · $781M to $847M
      Dec 22, 2014 to Dec 23, 2014
    • Non-discretionary RAUM · $4.2B to $4.5B
      Dec 22, 2014 to Dec 23, 2014
    • RAUM · $5.0B to $5.3B
      Dec 22, 2014 to Dec 23, 2014
    • Accounts · 26,339 to 33,643
      Oct 22, 2013 to Mar 31, 2014
    • Advisory employees · 1,565 to 1,951
      Oct 22, 2013 to Mar 31, 2014
    • BD registered reps · 2,479 to 1,954
      Oct 22, 2013 to Mar 31, 2014
    • Employees · 3,802 to 2,993
      Oct 22, 2013 to Mar 31, 2014
    • Insurance-licensed employees · 71 to 220
      Oct 22, 2013 to Mar 31, 2014
    • State-registered IARs · 1,717 to 1,804
      Oct 22, 2013 to Mar 31, 2014
    • Discretionary RAUM · $469M to $781M
      Oct 22, 2013 to Mar 31, 2014
    • Non-discretionary RAUM · $2.8B to $4.2B
      Oct 22, 2013 to Mar 31, 2014
    • RAUM · $3.3B to $5.0B
      Oct 22, 2013 to Mar 31, 2014
    • Advisory activities · 5 to 6
      Sep 30, 2013 to Oct 22, 2013
    • Accounts · 20,815 to 26,339
      Jan 18, 2013 to Mar 22, 2013
    • Advisory employees · 1,713 to 1,565
      Jan 18, 2013 to Mar 22, 2013
    • BD registered reps · 3,425 to 2,479
      Jan 18, 2013 to Mar 22, 2013
    • Employees · 4,279 to 3,802
      Jan 18, 2013 to Mar 22, 2013
    • Insurance-licensed employees · 138 to 71
      Jan 18, 2013 to Mar 22, 2013
    • State-registered IARs · 1,713 to 1,717
      Jan 18, 2013 to Mar 22, 2013
    • Discretionary RAUM · $354M to $469M
      Jan 18, 2013 to Mar 22, 2013
    • Non-discretionary RAUM · $2.2B to $2.8B
      Jan 18, 2013 to Mar 22, 2013
    • RAUM · $2.6B to $3.3B
      Jan 18, 2013 to Mar 22, 2013
    • Related bank · false to true
      Jan 18, 2013 to Mar 22, 2013
    • Advisory employees · unset to 1713.0
      Mar 26, 2012 to Nov 20, 2012
    • BD registered reps · unset to 3425.0
      Mar 26, 2012 to Nov 20, 2012
    • Employees · unset to 4279.0
      Mar 26, 2012 to Nov 20, 2012
    • State-registered IARs · 0 to 1,713
      Mar 26, 2012 to Nov 20, 2012
    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