New England Capital Financial Advisors Llc
- Regulatory AUM
- $768M
- Discretionary
- $710M
- Clients
- 1,219
- Avg AUM / client
- $630K
- Accounts
- 3,121
- Employees
- 12
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Aug 18, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 1,017 | $352M | 45.8% |
| High net worth individuals | 176 | $343M | 44.7% |
| Pension and profit sharing plans | 17 | $63.9M | 8.32% |
| Charitable organizations | 6 | $6.8M | 0.89% |
| Corporations and other businesses | 3 | $2.8M | 0.37% |
People (6)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Christopher Michael Lee | Member | CFP | Apr 1998 (28y) | 10% – 25% |
| Christopher William Beale | Managing Member | CFP | Jan 1999 (28y) | 75% or more |
| Darren M Tapley | Chief Compliance Officer | Nov 2005 (21y) | Less than 5% | |
| Ann Marie Ocone | Registered representative | CFP | May 2012 (14y) | |
| Liam Joseph Wallace | Registered representative | Apr 2023 (3y) | ||
| Matthew Carreras | Registered representative | Apr 2023 (3y) |
Undisclosed: 0% – 15% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/27/2026 | 922 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Educational seminars/workshops
Custody
Reported custodians
- National Financial Services (Fidelity) $642M (84% of AUM) Aug 2026
- Charles Schwab & Co. $52.4M (7% of AUM) Aug 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Aug 18, 2026.
View current Form ADV (SEC/IAPD) ↗