New England Capital Planners, Inc. (Avon)

Name: New England Capital Planners, Inc.
Address: 152 Simsbury Rd., Avon, CT, 06001
Telephone: 860-409-0771

New England Capital Planners, Inc. is a large advisory firm based in Avon. It manages $136.77 million of regulatory assets for 224 client accounts. It has been registered with the SEC as an adviser since 2017 and has operated in the jurisdictions of Connecticut and Massachusetts.

New England Capital Planners provides financial planning services, portfolio management for individuals and small businesses, pension consulting services, and selection of other advisers. It prepares financial plans for more than 50 clients. On top of advisory services, the firm doesn't engage in other business activities.

New England Capital Planners: assets under management

The assets under management (AUM) of New England Capital Planners, Inc. is $136.77 million. The firm's AUM has grown by 8% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $72.29 million in discretionary accounts and $64.47 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $380.49 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $1.9 million.

Investments

The firm invests in investment and business development companies the most. They account for 80% of the total AUM. The second-largest asset type is exchange traded securities, which make up 10% of the firm’s portfolio. Investments in investment grade corporate bonds form 5% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay New England Capital Planners, Inc. for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Hourly charges are usually charged for consulting work and special projects. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients New England Capital Planners serves?

The firm provides services to individuals, high net worth individuals, and pension and profit sharing plans. The largest group of clients of New England Capital Planners is high net worth individuals with 40 clients and $81.72 million of assets under management. Among the 12 most similar advisory firms, New England Capital Planners has the 6th lowest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $136.77 million for 119 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

New England Capital Planners doesn't advise any private funds.

Careers at New England Capital Planners, Inc.

The company employs 6 people that are either part- or full-time employees. 50 percent of the employees work as investment advisers or researchers. 3 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Antonio Disorbo	President and chief compliance officer	1 Oct 2012	75% - 100%	1573665

Based in Avon

The principal office where New England Capital Planners, Inc. performs its advisory services is located at 152 Simsbury Rd., Avon, CT 06001 The mailing address of the firm is 124 Simsbury Rd., Avon, CT 06001. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 860-409-0771 or by fax 860-676-9979. The normal business hours are 8:30 a.m. to 5:00 p.m. on Monday - Friday. You can find more information about the New York firm at necpinc.com.