Wealth manager, independent · Peabody, MA
New England Schooner, Inc.
SEC-registered investment adviser · CRD 129552 · SEC 801-133872
At a glance
New England Schooner, Inc. is an SEC-registered investment adviser based in Peabody, Massachusetts, with $165 million in regulatory assets under management as of its Form ADV filed March 10, 2026. Its largest client group by assets is individuals, and it reports 320 individual clients. By Form ADV it is a wealth manager, ranked 6,520th of 8,915 wealth managers and 13,220th of 17,210 SEC-registered advisers by assets.
Main office 978-977-4757neschooner.comAs filed on Form ADV
- Regulatory AUM
- $165M
- Rank among wealth managers
- #6,520 of 8,915
- Rank among all SEC RIAs
- #13,220 of 17,210
- Rank in Massachusetts
- #539 of 627
- Individual clients
- 320
- High-net-worth clients
- 35
- Accounts
- 534
- Discretionary
- 100% of AUM
- Employees
- 4
- Advisory staff
- 4
- Offices
- 2
Owners and executives on its Form ADV
- Raymond P. JacquesPresident
- JUSTIN T. BRUZZESEChief Compliance Officer
Custody and brokerage
Broker-dealer
Hybrid RIA
New England Schooner, Inc. is a hybrid RIA: 4 of its employees are also registered representatives of a broker-dealer.
Its Form ADV brochure (filed March 2026) names Osaic Wealth as the broker-dealer its advisers are registered with.
Certain Executive officers and other Associated Persons of NES are registered representatives of Osaic Wealth Inc.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Individuals | 285 | $91M | 55% |
| High-net-worth individuals | 35 | $74M | 45% |
Disciplinary disclosures
New England Schooner, Inc. reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
- Pension consulting
How it’s paid
- A percentage of assets under management
Form ADV and brochures on the SEC’s adviser search ↗neschooner.com ↗
AtlasMembers
The full record on New England Schooner, Inc.
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 1 years of filings
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- Growth over one, three and five years
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- Rank against 5,595 peers of its type and size
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- Owners and executives, with titles and stakes
- 2 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Background
Questions
How much does New England Schooner, Inc. manage?
New England Schooner, Inc. reports $165 million in regulatory assets under management across 534 accounts, 100% of it on a discretionary basis, on its Form ADV filed March 10, 2026.
What kind of firm is New England Schooner, Inc.?
New England Schooner, Inc. is a wealth manager by its Form ADV answers. At least half of its regulatory assets are managed for individuals and high-net-worth individuals.
Who are New England Schooner, Inc.’s clients?
By assets, its largest client types are individuals ($91 million, 285 clients); high-net-worth individuals ($74 million, 35 clients).
Does New England Schooner, Inc. have any disciplinary history?
New England Schooner, Inc. reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is New England Schooner, Inc.’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-03-10), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →