# Douglas C. Lane & Associates > 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. - CRD: 282563 - Filed as: DOUGLAS C. LANE & ASSOCIATES - Legal name: Douglas Lane & Associates, LLC - Registration: SEC-registered investment adviser (status as filed: Approved) - Location: New York, NY - Filing period: October 2026 - Form ADV filing dated: March 30, 2026 - SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/282563 - AdvisorCensus page: https://advisorcensus.com/firm/douglas-c-lane-and-associates-new-york-ny-282563 ## Quick answers **How is Douglas C. Lane & Associates compensated?** On its Form ADV (Item 5.E, October 2026), Douglas C. Lane & Associates reports these compensation arrangements: a percentage of assets under its management. **How much does Douglas C. Lane & Associates charge?** 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. **Where is Douglas C. Lane & Associates located?** 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). **Is Douglas C. Lane & Associates registered with the SEC or a state?** Douglas C. Lane & Associates is an SEC-registered investment advisory firm, registered since 2016. Status as filed: Approved. CRD 282563. **How much does Douglas C. Lane & Associates manage?** 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). **How have Douglas C. Lane & Associates' assets and staff changed since 2021?** 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. **What types of clients does Douglas C. Lane & Associates serve?** 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). **Which custodians does Douglas C. Lane & Associates use?** 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. **Does Douglas C. Lane & Associates 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/282563 **Does Douglas C. Lane & Associates state an account minimum?** 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." ## 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) - 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 > 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 .75% on the next $10 million .60% on the next $15 million .50% on the next $20 million .30% thereafter - Account minimum: $1,000,000 (the brochure says it may be waived or negotiated) > 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. As stated in the firm's brochure. Fees can differ by service and may be negotiable. ### Custodians (Schedule D, Section 5.K(3)) - Charles Schwab & Co., Inc. - Fidelity Distributors Company 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: $8,440,543,357 - Discretionary: $8,440,543,357 - Non-discretionary: $0 ### Clients (Item 5.D) | Client type | Clients | Assets | | --- | --- | --- | | Individuals (other than high net worth individuals) | 210 | $100,767,509 | | High net worth individuals | 874 | $7,629,380,959 | | Pension and profit sharing plans (but not the plan participants or government pension plans) | 27 | $312,535,096 | | Charitable organizations | 14 | $200,721,608 | | Corporations or other businesses not listed above | 19 | $197,138,185 | ### Advisory services (Item 5.G) - 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 ### Firm details - Registered since: 2016 (10 years) - Employees: 37 total, 17 performing advisory functions - Wrap fee program participation: No - States registered or notice-filed: 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 - Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11. ### Other offices (Schedule D, Section 1.F), as of the April 2026 filing - Boca Grande, FL ### Websites listed on Form ADV (Item 1.I) - [dclainc.com](https://dclainc.com) - [focusfinancialpartners.com](https://focusfinancialpartners.com) - LinkedIn @DOUGLAS-C.-LANE-&-ASSOCIATES - LinkedIn @FOCUS-FINANCIAL-PARTNERS - X @focusfinancial ## Assets and staff over time | Data period | Regulatory assets under management | Employees | Filing dated | | --- | --- | --- | --- | | October 2021 | $6,877,254,796 | 33 | July 9, 2021 | | October 2022 | $8,475,466,283 | 34 | March 30, 2022 | | October 2023 | $7,045,878,431 | 36 | September 25, 2023 | | October 2024 | $7,601,940,178 | 38 | March 27, 2024 | | October 2025 | $8,230,575,270 | 37 | April 8, 2025 | | October 2026 | $8,440,543,357 | 37 | March 30, 2026 | 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. ## Source Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Douglas C. Lane & Associates (CRD 282563): Form ADV filing data as of October 2026.