SourcingSourcing

NEW ENGLAND CAPITAL FINANCIAL ADVISORS LLC

C47
CRD 109203·SEC 801-57122·SOUTH MERIDEN, CT
AUM
$673.0M
$500M-$1B
Est. Revenue
$6.7M
@ 1% on AUM
Est. EBITDA
$2.0M
@ 30% margin
Est. Deal Value
$16.2M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
NEW ENGLAND CAPITAL FINANCIAL ADVISORS LLC
CRD
109203
SEC file #
801-57122
EIN
364685972
DBA names
—

Economics

AUM
$673.0M
AUM band
$500M-$1B
AUM trajectory
'20'26
$327.3M → $673.0M▲ +106%
Client mix
Individuals Other1,012
Individuals High Net Worth173
Pension Profit Sharing Plans18
Charitable Organizations5
Corporations3

Operations

Employees (total)
12
Advisory staff (per ADV)
12
Advisory staff (5-yr trend)
'20'26
10 advisors → 12 advisors▲ +20%
Primary office
SOUTH MERIDEN CT
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — businessesPension consulting
Fee basis
% of AUMHourly chargesFixed fees

Filings

Latest ADV filing
03/27/2026
ADV-W filed at
—
Website
newenglandcapital.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
BEALE, CHRISTOPHER, WILLIAM
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
4
Control Persons
BEALE, CHRISTOPHER, WILLIAM
LEE, CHRISTOPHER, MICHAEL
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
NEWENGLANDCAPITAL.COM
Rdap Domain Creation Date
1999-04-07T04:00:00Z
Rdap Firm Age Years
27
Rdap Firm Age Band
20+y
Rdap Registrar
Network Solutions, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0001964652
Edgar Registered
Yes
Edgar Filing Count
16
Edgar First Filing Date
2023-02-06
Edgar Last Filing Date
2026-04-27
Edgar 13f Count
14
Edgar 13f Latest AUM Estimate
Filing Date2026-04-27
Accession0001964652-26-000002

Local market & wealth

Rank targets by how wealthy the local market is

Soi High Wealth Score
0.1476
Soi Zip Pct 200k Plus
0.0215
Soi Zip Returns 200k Plus
270
Soi Zip Total AGI
721,589
Fdic Zip Total Deposits
3,365,045,000
Fdic Zip Branch Count
79
Fdic Zip Top Banks
Wells Fargo Bank, National Association
Ion Bank

Compliance & brand

Firm Registration Status
active

All other collected signals (27)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
6
Bc Firm IAR Count
6
Custodian Candidates
Full
Charles Schwab6
E*trade4
Fidelity2
Edgar Addresses
Mailing
79 MAIN STREETMERIDEN, CT 06451
Business
79 MAIN STREETMERIDEN, CT 06451
Edgar EIN
364685972
Edgar Recent Filings
13F-HR2026-04-27 · 0001964652-26-000002
13F-HR2026-02-02 · 0001964652-26-000001
Fdic Zip Branches Raw
First Union Bank of ConnecticutMeriden, CT
First Union National BankMeriden, CT
Fdic Zip HHI
2157.9
Fdic Zip Top Bank Share Pct
32.69
Fdic Zip Year
2025
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2029-04-07T04:00:00Z
Rdap Domain Last Changed
2024-02-07T08:05:49Z
Rdap Nameservers
Ns73.worldnic.comNs74.worldnic.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer Prohibited
Soi Year
2022
Soi Zip Distribution
Stub 1
AGI47,009
Returns3,680
Stub 2
AGI131,606
Returns3,580
Stub 3
AGI132,145
Returns2,140
Soi Zip Total Business Income
19,865
Soi Zip Total Cap Gains
6,858
Soi Zip Total Dividends
5,307
Soi Zip Total Returns
12,530
Top Owner CRD
1219495
Trust Company Affiliate
No

People (6)

6
BEALE, CHRISTOPHER, WILLIAM
IAR · Direct Owner · 87.5%
1219495
LEE, CHRISTOPHER, MICHAEL
IAR · Direct Owner · 17.5%
2699763
OCONE, ANN MARIE
IAR · Direct Owner · 7.5%
5283747
TAPLEY, DARREN, M
IAR · Executive Officer · 2.5%
4751707
Matthew Carreras
IAR
2355326
Liam Joseph Wallace
IAR
7414980