← Tributary

NEW ENGLAND RESEARCH & MANAGEMENT, INC.

CHICAGO, IL · CRD 110739 · IAPD ↗ · nerminc.com · 312-212-1704

$337.1MRegulatory AUM
3Advisory reps
4Employees
0Clients
0Planning clients
0Private funds
9States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

47
September 2026 — NEW ENGLAND RESEARCH & MANAGEMENT, INC. notice-filed in CA, NY.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
68
September 2026 — NEW ENGLAND RESEARCH & MANAGEMENT, INC. now reports custody of client assets ($210.7M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
45
January 2026 — NEW ENGLAND RESEARCH & MANAGEMENT, INC. notice-filed in LA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
47
December 2025 — NEW ENGLAND RESEARCH & MANAGEMENT, INC. notice-filed in NJ, TX.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.