Newalliance Investments Inc (Hartford)

Name: Newalliance Investments Inc
Address: 100 Pearl Street, Hartford, CT, 06103
Telephone: 888-255-7966

Newalliance Investments Inc is a large advisory firm based in Hartford. It manages $28.48 million of regulatory assets for 56 client accounts. It has been registered with the SEC as an adviser since 2007 and has operated in the jurisdictions of Connecticut, Kansas, Massachusetts, and 4 other states.

Newalliance Investments provides financial planning services, portfolio management for individuals and small businesses, and portfolio management for pooled investment vehicles. It prepares financial plans for more than 10 clients. On top of advisory services, the firm doesn't engage in other business activities.

Newalliance Investments: assets under management

The assets under management (AUM) of Newalliance Investments Inc is $28.48 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -85% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $28.48 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $508.64 thousand each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Newalliance Investments Inc for their services and products based on a percentage of assets under management, hourly charges, fixed fees, and commissions. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Newalliance Investments Inc

Diane Lillian Wishnafski has been acting as President since 1 Feb 2003. Koon Ping Chan joined the executive team most recently as the Director.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
James Edward Diamond	President of newalliance investments inc.	1 Feb 2003	Other	67053
Patricia Ann Murphy	Vp-operations manager	1 Feb 2003	Other	2531093
Diane Lillian Wishnafski	Director	1 Feb 2003	Other	4659316
Karen Helene Hajus	Vp-chief compliance officer	1 Feb 2003	Other	1479811
Newalliance Bank	Parent company	1 Apr 2004	75% - 100%	06-0469580
Richard B Troutman	Vp-finop/treasurer	1 Nov 2004	Other	4830095
Brian Arsenault	Director	1 Apr 2006	Other	5317429
Gerald Alan Long	First vp-cio	1 Mar 2007	Other	2398246
John Franklin Newman	President of newalliance investments inc.	1 Apr 2007	Other	1751371
Merrill Bernard Blanksteen	Director	1 Sep 2007	Other	5408055
Douglas King Anderson	Director	1 Sep 2007	Other	5429554
Gail Elma Delores Brathwaite	Director	1 Sep 2007	Other	5429575
Debra Ann Watson	Director	1 Sep 2007	Other	5431212
Koon Ping Chan	Director	1 May 2008	Other	5545937

Indirect Owners

The SEC currently registers 1 indirect owner.

Name	Entity	Date acquired	Ownership	Employer ID
Newalliance Bancshares	Newalliance banchares owns newalliance of which newalliance investments inc is a subsiduary of	1 Apr 2004	75% - 100%	06-0469580

Based in Hartford

The principal office where Newalliance Investments Inc performs its advisory services is located at 100 Pearl Street, Hartford, CT 06103, which is also the mailing address of the firm. An additional office of the firm is in Dayville, CT. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 888-255-7966 or by fax 860-293-4175. The normal business hours are 9:00 a.m. - 5:00 p.m. on Monday - Friday. You can find more information about the New York firm at www.ctinvestment.com.