AdvisorCensus / Financial advisors / New York / New York / Alpine Saxon Woods
Alpine Saxon Woods
Filed as ALPINE SAXON WOODS · Legal name Saxon Woods Advisors LLC
Alpine Saxon Woods is an SEC-registered investment advisory firm in Purchase, NY, registered since 1999, reporting $500 million to $1 billion in regulatory assets under management in its Form ADV filing dated March 30, 2026.
Quick answers
From the filingHow is Alpine Saxon Woods compensated?
On its Form ADV (Item 5.E, October 2026), Alpine Saxon Woods reports these compensation arrangements: a percentage of assets under its management.
Where is Alpine Saxon Woods located?
Alpine Saxon Woods' principal office is in Purchase, NY, according to its Form ADV.
Is Alpine Saxon Woods registered with the SEC or a state?
Alpine Saxon Woods is an SEC-registered investment advisory firm, registered since 1999. Status as filed: Approved. CRD 109686.
How much does Alpine Saxon Woods manage?
Alpine Saxon Woods reports $669,584,000 in regulatory assets under management in its Form ADV filing dated March 30, 2026 (100% discretionary).
How have Alpine Saxon Woods' assets and staff changed since 2021?
In the Form ADV data for Alpine Saxon Woods: Regulatory assets under management: $927,869,233 in the October 2021 data and $669,584,000 in the October 2026 data, down 28%. Total employees: 17 in October 2021 and 12 in October 2026. Assets under management move with markets as well as with clients coming and going.
What types of clients does Alpine Saxon Woods serve?
By number of clients on Form ADV Item 5.D: high net worth individuals (90); individuals (other than high net worth individuals) (51); charitable organizations (17).
Which custodians does Alpine Saxon Woods use?
Alpine Saxon Woods' most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Jefferies LLC and RBC Capital Markets, LLC as custodians holding 10% or more of its separately managed account assets.
Does Alpine Saxon Woods 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/109686
Does Alpine Saxon Woods state an account minimum?
Its Form ADV Part 2A brochure dated March 30, 2026 says: "SWA typically requires an account minimum of $1 million that is applicable to new managed accounts."
What changed in Alpine Saxon Woods' recent Form ADV filings?
In the April 2026 filing data: Updated its list of owners and control persons (Schedule A).
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- A percentage of assets under your management
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Fees and minimums
Form ADV Part 2AAccount minimum: $1,000,000
The brochure's wording
SWA typically requires an account minimum of $1 million that is applicable to new managed accounts.
As stated in the firm's Form ADV Part 2A brochure dated March 30, 2026. Fees can differ by service and may be negotiable; the brochure is the complete statement. Read the brochure on the SEC's IAPD site
Regulatory assets under management
Item 5.F$669,584,000 as of October 2026, filing dated March 30, 2026.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Portfolio management for individuals and/or small businesses
Registration and firm details
Items 1, 2, 5- Legal name
- Saxon Woods Advisors LLC
- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 1999 (26 years)
- Employees
- Total: 12. Performing investment advisory functions: 3.
- Wrap fee program participation
- No.
- Custodians (Schedule D, Section 5.K(3))
-
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.
- States registered or notice-filed
-
5 states or jurisdictions
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Assets and staff over time
Items 5.A, 5.F| Data period | Assets under management | Employees | Filing dated |
|---|---|---|---|
| October 2026 | $669,584,000 | 12 | March 30, 2026 |
| October 2025 | $683,377,440 | 12 | March 31, 2025 |
| October 2024 | $718,620,427 | 14 | March 27, 2024 |
| October 2023 | $753,466,009 | 15 | March 31, 2023 |
| October 2022 | $1,000,138,589 | 17 | September 20, 2022 |
| October 2021 | $927,869,233 | 17 | March 31, 2021 |
Regulatory assets under management: $927,869,233 in the October 2021 data and $669,584,000 in the October 2026 data, down 28%.
Total employees: 17 in October 2021 and 12 in October 2026.
As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.
Changes in the filing
Last 12 months- April 2026
- Updated its list of owners and control persons (Schedule A).
- January 2026
- No longer registered or notice-filed in MA.
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.ISource: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. Alpine Saxon Woods (CRD 109686): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/alpine-saxon-woods-purchase-ny-109686