{
  "crd_number": 282563,
  "slug": "douglas-c-lane-and-associates-new-york-ny-282563",
  "primary_business_name": "DOUGLAS C. LANE & ASSOCIATES",
  "legal_name": "DOUGLAS LANE & ASSOCIATES, LLC",
  "dbas": [],
  "city": "New York",
  "state": "NY",
  "country": "United States",
  "cbsa_code": "35620",
  "metro": {
    "cbsa_code": "35620",
    "common_name": "New York",
    "msa_name": "New York-Newark-Jersey City, NY-NJ",
    "path": "/advisors/ny/new-york"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2016-01-01",
  "years_registered": 10,
  "period": "2026-10-01",
  "filing_date": "2026-03-30",
  "carried_forward": false,
  "raum_total": 8440543357.0,
  "raum_discretionary": 8440543357.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "over_5b",
  "raum_band_label": "Over $5 billion",
  "total_employees": 37,
  "advisory_employees": 17,
  "client_count_bucket": null,
  "clients_by_type": {
    "charitable": {
      "raum": 200721608.0,
      "count": 14
    },
    "individuals": {
      "raum": 100767509.0,
      "count": 210
    },
    "pension_profit_sharing": {
      "raum": 312535096.0,
      "count": 27
    },
    "high_net_worth_individuals": {
      "raum": 7629380959.0,
      "count": 874
    },
    "corporations_other_businesses": {
      "raum": 197138185.0,
      "count": 19
    }
  },
  "compensation_types": [
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "other",
    "portfolio_management_businesses_institutional",
    "portfolio_management_individuals",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "AK",
    "AL",
    "AZ",
    "CA",
    "CO",
    "CT",
    "DC",
    "DE",
    "FL",
    "GA",
    "HI",
    "ID",
    "IL",
    "IN",
    "KS",
    "KY",
    "LA",
    "MA",
    "MD",
    "ME",
    "MI",
    "MN",
    "MO",
    "MT",
    "NC",
    "NE",
    "NH",
    "NJ",
    "NM",
    "NV",
    "NY",
    "OH",
    "OK",
    "OR",
    "PA",
    "RI",
    "SC",
    "SD",
    "TN",
    "TX",
    "UT",
    "VA",
    "VI",
    "VT",
    "WA",
    "WI",
    "WV",
    "WY"
  ],
  "websites": [
    "https://dclainc.com",
    "https://focusfinancialpartners.com",
    "https://linkedin.com/COMPANY/DOUGLAS-C.-LANE-&-ASSOCIATES",
    "https://linkedin.com/COMPANY/FOCUS-FINANCIAL-PARTNERS",
    "https://twitter.com/focusfinancial"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/282563",
  "city_as_filed": "NEW YORK",
  "url": "https://advisorcensus.com/firm/douglas-c-lane-and-associates-new-york-ny-282563",
  "display_name": "Douglas C. Lane & Associates",
  "summary": "Douglas C. Lane & Associates is an SEC-registered investment advisory firm in New York, NY, registered since 2016, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated March 30, 2026.",
  "citation": "AdvisorCensus. Douglas C. Lane & Associates (CRD 282563): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Portfolio management for businesses (other than small businesses) or institutional clients",
    "Selection of other advisers (including private fund managers)",
    "Other"
  ],
  "quick_answers": [
    {
      "q": "How is Douglas C. Lane & Associates compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Douglas C. Lane & Associates reports these compensation arrangements: a percentage of assets under its management."
    },
    {
      "q": "How much does Douglas C. Lane & Associates charge?",
      "a": "Its Form ADV Part 2A brochure dated March 30, 2026 states: Up to $5,000,000: 1% a year; $5,000,000 to $15,000,000: 0.75% a year; $15,000,000 to $30,000,000: 0.6% a year; $30,000,000 to $50,000,000: 0.5% a year; Above $50,000,000: 0.3% a year. Fees can differ by service and may be negotiable; the brochure is the complete statement."
    },
    {
      "q": "Where is Douglas C. Lane & Associates located?",
      "a": "Douglas C. Lane & Associates' principal office is in New York, NY, according to its Form ADV; the April 2026 filing also lists 1 other office (Schedule D, Section 1.F)."
    },
    {
      "q": "Is Douglas C. Lane & Associates registered with the SEC or a state?",
      "a": "Douglas C. Lane & Associates is an SEC-registered investment advisory firm, registered since 2016. Status as filed: Approved. CRD 282563."
    },
    {
      "q": "How much does Douglas C. Lane & Associates manage?",
      "a": "Douglas C. Lane & Associates reports $8,440,543,357 in regulatory assets under management in its Form ADV filing dated March 30, 2026 (100% discretionary)."
    },
    {
      "q": "How have Douglas C. Lane & Associates' assets and staff changed since 2021?",
      "a": "In the Form ADV data for Douglas C. Lane & Associates: Regulatory assets under management: $6,877,254,796 in the October 2021 data and $8,440,543,357 in the October 2026 data, up 23%. Total employees: 33 in October 2021 and 37 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Douglas C. Lane & Associates serve?",
      "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (874); individuals (other than high net worth individuals) (210); pension and profit sharing plans (but not the plan participants or government pension plans) (27)."
    },
    {
      "q": "Which custodians does Douglas C. Lane & Associates use?",
      "a": "Douglas C. Lane & Associates' most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and Fidelity Distributors Company LLC as custodians holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Douglas C. Lane & Associates report any disciplinary disclosures?",
      "a": "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/282563"
    },
    {
      "q": "Does Douglas C. Lane & Associates state an account minimum?",
      "a": "Its Form ADV Part 2A brochure dated March 30, 2026 says: \"We typically require new clients to have a minimum of $1,000,000 to invest with us, but will waive the minimum investment amount under circumstances where we deem appropriate.\""
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 6877254796.0,
      "total_employees": 33,
      "filing_date": "2021-07-09"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 8475466283.0,
      "total_employees": 34,
      "filing_date": "2022-03-30"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 7045878431.0,
      "total_employees": 36,
      "filing_date": "2023-09-25"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 7601940178.0,
      "total_employees": 38,
      "filing_date": "2024-03-27"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 8230575270.0,
      "total_employees": 37,
      "filing_date": "2025-04-08"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 8440543357.0,
      "total_employees": 37,
      "filing_date": "2026-03-30"
    }
  ],
  "recent_changes": [],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated March 30, 2026",
    "provided_by_the_firm": false,
    "tiers": [
      {
        "band": "Up to $5,000,000",
        "rate": "1%"
      },
      {
        "band": "$5,000,000 to $15,000,000",
        "rate": "0.75%"
      },
      {
        "band": "$15,000,000 to $30,000,000",
        "rate": "0.6%"
      },
      {
        "band": "$30,000,000 to $50,000,000",
        "rate": "0.5%"
      },
      {
        "band": "Above $50,000,000",
        "rate": "0.3%"
      }
    ],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": "$1,000,000",
    "account_minimum_may_be_waived": true,
    "minimum_annual_fee": null,
    "planning_fees": [],
    "figures": [
      {
        "label": "Fee schedule",
        "statements": [
          "Up to $5,000,000: 1% a year",
          "$5,000,000 to $15,000,000: 0.75% a year",
          "$15,000,000 to $30,000,000: 0.6% a year",
          "$30,000,000 to $50,000,000: 0.5% a year",
          "Above $50,000,000: 0.3% a year"
        ],
        "quotes": [
          "The annual fee is based on a client’s assets under our management according to the following schedule:",
          "1.00% on the first $ 5 million\n.75% on the next $10 million\n.60% on the next $15 million\n.50% on the next $20 million\n.30% thereafter"
        ]
      },
      {
        "label": "Account minimum",
        "statements": [
          "Account minimum: $1,000,000 (the brochure says it may be waived or negotiated)"
        ],
        "quotes": [
          "We typically require new clients to have a minimum of $1,000,000 to invest with us, but will waive the minimum investment amount under circumstances where we deem appropriate."
        ]
      }
    ],
    "values": {
      "tiers": [
        {
          "min": 0.0,
          "max": 5000000.0,
          "rate_pct": 1.0
        },
        {
          "min": 5000000.0,
          "max": 15000000.0,
          "rate_pct": 0.75
        },
        {
          "min": 15000000.0,
          "max": 30000000.0,
          "rate_pct": 0.6
        },
        {
          "min": 30000000.0,
          "max": 50000000.0,
          "rate_pct": 0.5
        },
        {
          "min": 50000000.0,
          "max": null,
          "rate_pct": 0.3
        }
      ],
      "range_pct": null,
      "max_pct": null,
      "account_minimum": 1000000.0,
      "minimum_annual_fee": null,
      "planning": []
    },
    "quotes": [
      "The annual fee is based on a client’s assets under our management according to the following schedule:",
      "1.00% on the first $ 5 million\n.75% on the next $10 million\n.60% on the next $15 million\n.50% on the next $20 million\n.30% thereafter",
      "We typically require new clients to have a minimum of $1,000,000 to invest with us, but will waive the minimum investment amount under circumstances where we deem appropriate."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [
    {
      "name": "Charles Schwab & Co., Inc.",
      "name_as_filed": "CHARLES SCHWAB & CO., INC.",
      "affiliated": false
    },
    {
      "name": "Fidelity Distributors Company LLC",
      "name_as_filed": "FIDELITY DISTRIBUTORS COMPANY LLC",
      "affiliated": false
    }
  ],
  "custodians_note": "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.",
  "markdown_url": "https://advisorcensus.com/firm/douglas-c-lane-and-associates-new-york-ny-282563.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 210,
      "fewer_than_5": false,
      "raum": 100767509.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 874,
      "fewer_than_5": false,
      "raum": 7629380959.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 27,
      "fewer_than_5": false,
      "raum": 312535096.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 14,
      "fewer_than_5": false,
      "raum": 200721608.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 19,
      "fewer_than_5": false,
      "raum": 197138185.0
    }
  ],
  "disclosure_line": "Reports no disclosure items on Form ADV Item 11.",
  "disclosure_items": [],
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/282563",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}