Ann Ocone
Ann Ocone is a CFP-designated registered investment advisor at New England Capital Financial Advisors LLC, based in Cheshire, CT, with 15 years of industry experience. Ann operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Business Owners, Estate Planning, Financial Planning & Coaching, High Net Worth, and 4 more. Their firm serves 1,219 clients with $770M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $500K | 1.25% |
| $500K - $2.5M | 1.00% |
| $2.5M+ | 0.75% |
Fees are invoiced quarterly in arrears. Fees may be negotiable or discounted based on various factors such as account size, complexity, and relationship size.
Fee Estimator
Location
1781 Highland Ave Ste 102, Cheshire, CT, 06410-1254
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Ann is a board member of the Napier Foundation, a non-profit organization. She spends minimal time reviewing grant applications, financial statements, and attending quarterly meetings.
Employment History
Current Registrations
New England Capital Financial Advisors LLC
Previous Registrations
Purshe Kaplan Sterling InvestmentsBroker
Harvest Capital LLCBroker
State Registrations1 state
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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