# New England Schooner, Inc.

> New England Schooner, Inc. is an SEC-registered investment advisory firm in Peabody, MA, registered since 2025, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 10, 2026.

- CRD: 129552
- Filed as: NEW ENGLAND SCHOONER, INC.
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Peabody, MA
- Filing period: October 2026
- Form ADV filing dated: March 10, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/129552
- AdvisorCensus page: https://advisorcensus.com/firm/new-england-schooner-inc-peabody-ma-129552

## Quick answers

**How is New England Schooner, Inc. compensated?**
On its Form ADV (Item 5.E, October 2026), New England Schooner, Inc. reports these compensation arrangements: a percentage of assets under its management.

**Where is New England Schooner, Inc. located?**
New England Schooner, Inc.'s principal office is in Peabody, MA, according to its Form ADV.

**Is New England Schooner, Inc. registered with the SEC or a state?**
New England Schooner, Inc. is an SEC-registered investment advisory firm, registered since 2025. Status as filed: Approved. CRD 129552.

**How much does New England Schooner, Inc. manage?**
New England Schooner, Inc. reports $165,206,151 in regulatory assets under management in its Form ADV filing dated March 10, 2026 (100% discretionary).

**How have New England Schooner, Inc.'s assets and staff changed since 2025?**
In the Form ADV data for New England Schooner, Inc.: Regulatory assets under management: $130,765,580 in the October 2025 data and $165,206,151 in the October 2026 data, up 26%. Total employees: 5 in October 2025 and 4 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does New England Schooner, Inc. serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (285); high net worth individuals (35).

**Which custodians does New England Schooner, Inc. use?**
New England Schooner, Inc.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Pershing LLC as a custodian holding 10% or more of its separately managed account assets.

**Does New England Schooner, Inc. report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/129552

**Does New England Schooner, Inc. state an account minimum?**
Its Form ADV Part 2A brochure dated March 10, 2026 says: "NES requires a minimum of $250,000 to open and maintain an advisory account. In our sole discretion, we may waive this requirement."

**What changed in New England Schooner, Inc.'s recent Form ADV filings?**
In the April 2026 filing data: Regulatory assets under management went from $130,765,580 to $165,206,151 (+26%).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management

### Fees and minimums (Form ADV Part 2A brochure dated March 10, 2026)

- Account minimum: $250,000 (the brochure says it may be waived or negotiated)

> NES requires a minimum of $250,000 to open and maintain an advisory account. In our sole discretion, we may waive this requirement.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Pershing LLC

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $165,206,151
- Discretionary: $165,206,151
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 285 | $90,873,898 |
| High net worth individuals | 35 | $74,332,253 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | 0 | $0 |
| Other | 0 | $0 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services

### Firm details
- Registered since: 2025 (1 year)
- Employees: 4 total, 4 performing advisory functions
- Wrap fee program participation: Yes
- States registered or notice-filed: CT, FL, MA, ME, NH, RI, TX
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- neschooner.com

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2025 | $130,765,580 | 5 | June 12, 2025 |
| October 2026 | $165,206,151 | 4 | March 10, 2026 |

Regulatory assets under management: $130,765,580 in the October 2025 data and $165,206,151 in the October 2026 data, up 26%.
Total employees: 5 in October 2025 and 4 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Regulatory assets under management went from $130,765,580 to $165,206,151 (+26%).

### December 2025
- Registered or notice-filed in CT, FL, NH, RI, TX.
- Updated its list of owners and control persons (Schedule A).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. New England Schooner, Inc. (CRD 129552): Form ADV filing data as of October 2026.