# Alpine Saxon Woods

> 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.

- CRD: 109686
- Filed as: ALPINE SAXON WOODS
- Legal name: Saxon Woods Advisors LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Purchase, NY
- Filing period: October 2026
- Form ADV filing dated: March 30, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/109686
- AdvisorCensus page: https://advisorcensus.com/firm/alpine-saxon-woods-purchase-ny-109686

## Quick answers

**How 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

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

### Fees and minimums (Form ADV Part 2A brochure dated March 30, 2026)

- Account minimum: $1,000,000

> SWA typically requires an account minimum of $1 million that is applicable to new managed accounts.

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

### Custodians (Schedule D, Section 5.K(3))
- Jefferies LLC
- RBC Capital Markets, 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: $669,584,000
- Discretionary: $669,584,000
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 51 | $12,896,000 |
| High net worth individuals | 90 | $203,351,000 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | Fewer than 5 | $9,045,000 |
| Charitable organizations | 17 | $444,292,000 |
| Corporations or other businesses not listed above | Fewer than 5 | $0 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses

### Firm details
- Registered since: 1999 (26 years)
- Employees: 12 total, 3 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CA, CT, FL, NY, TX
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

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

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $927,869,233 | 17 | March 31, 2021 |
| October 2022 | $1,000,138,589 | 17 | September 20, 2022 |
| October 2023 | $753,466,009 | 15 | March 31, 2023 |
| October 2024 | $718,620,427 | 14 | March 27, 2024 |
| October 2025 | $683,377,440 | 12 | March 31, 2025 |
| October 2026 | $669,584,000 | 12 | March 30, 2026 |

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.

## 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.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Alpine Saxon Woods (CRD 109686): Form ADV filing data as of October 2026.