{
  "crd_number": 126349,
  "slug": "engleson-and-associates-rochester-ny-126349",
  "primary_business_name": "ENGLESON & ASSOCIATES",
  "legal_name": "ENGLESON & ASSOCIATES, INC.",
  "dbas": [],
  "city": "Rochester",
  "state": "NY",
  "country": "United States",
  "cbsa_code": "40380",
  "metro": {
    "cbsa_code": "40380",
    "common_name": "Rochester",
    "msa_name": "Rochester, NY",
    "path": "/advisors/ny/rochester"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2008-03-20",
  "years_registered": 18,
  "period": "2026-10-01",
  "filing_date": "2026-03-31",
  "carried_forward": false,
  "raum_total": 114468604.0,
  "raum_discretionary": 108885679.0,
  "raum_non_discretionary": 5582925.0,
  "raum_band": "100m_500m",
  "raum_band_label": "$100 million to $500 million",
  "total_employees": 4,
  "advisory_employees": 4,
  "client_count_bucket": null,
  "clients_by_type": {
    "other": {
      "raum": 0.0,
      "count": 0
    },
    "charitable": {
      "raum": 0.0,
      "count": 0
    },
    "individuals": {
      "raum": 31214607.0,
      "count": 274
    },
    "banking_thrift": {
      "raum": 0.0,
      "count": 0
    },
    "state_municipal": {
      "raum": 0.0,
      "count": 0
    },
    "insurance_companies": {
      "raum": 0.0,
      "count": 0
    },
    "investment_companies": {
      "raum": 0.0,
      "count": 0
    },
    "pension_profit_sharing": {
      "raum": 0.0,
      "count": 0
    },
    "other_investment_advisers": {
      "raum": 0.0,
      "count": 0
    },
    "high_net_worth_individuals": {
      "raum": 83253997.0,
      "count": 88
    },
    "pooled_investment_vehicles": {
      "raum": 0.0,
      "count": 0
    },
    "corporations_other_businesses": {
      "raum": 0.0,
      "count": 0
    },
    "business_development_companies": {
      "raum": 0.0,
      "count": 0
    },
    "sovereign_wealth_foreign_official": {
      "raum": 0.0,
      "count": 0
    }
  },
  "compensation_types": [
    "commissions",
    "fixed",
    "hourly",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "portfolio_management_businesses_institutional",
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "FL",
    "NJ",
    "NY",
    "PA",
    "VA"
  ],
  "websites": [],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/126349",
  "city_as_filed": "ROCHESTER",
  "url": "https://advisorcensus.com/firm/engleson-and-associates-rochester-ny-126349",
  "display_name": "Engleson & Associates",
  "summary": "Engleson & Associates is an SEC-registered investment advisory firm in Rochester, NY, registered since 2008, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 31, 2026.",
  "citation": "AdvisorCensus. Engleson & Associates (CRD 126349): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Hourly charges",
    "Fixed fees (other than subscription fees)",
    "Commissions"
  ],
  "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"
  ],
  "quick_answers": [
    {
      "q": "How is Engleson & Associates compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Engleson & Associates reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees); commissions."
    },
    {
      "q": "How much does Engleson & Associates charge?",
      "a": "Its Form ADV Part 2A brochure dated March 31, 2026 states: Asset-based fee: 0.75% to 3% a year (a range, as the brochure states it); Hourly rate: $100 to $500 an hour (Consulting Services); Flat fee: $1,000 to $15,000 (Consulting Services). Fees can differ by service and may be negotiable; the brochure is the complete statement."
    },
    {
      "q": "Where is Engleson & Associates located?",
      "a": "Engleson & Associates' principal office is in Rochester, NY, according to its Form ADV."
    },
    {
      "q": "Is Engleson & Associates registered with the SEC or a state?",
      "a": "Engleson & Associates is an SEC-registered investment advisory firm, registered since 2008. Status as filed: Approved. CRD 126349."
    },
    {
      "q": "How much does Engleson & Associates manage?",
      "a": "Engleson & Associates reports $114,468,604 in regulatory assets under management in its Form ADV filing dated March 31, 2026 (95% discretionary)."
    },
    {
      "q": "How have Engleson & Associates' assets and staff changed since 2021?",
      "a": "In the Form ADV data for Engleson & Associates: Regulatory assets under management: $75,037,067 in the October 2021 data and $114,468,604 in the October 2026 data, up 53%. Total employees: 2 in October 2021 and 4 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Engleson & Associates serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (274); high net worth individuals (88)."
    },
    {
      "q": "Which custodians does Engleson & Associates use?",
      "a": "Engleson & Associates' most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Engleson & 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/126349"
    },
    {
      "q": "What changed in Engleson & Associates' recent Form ADV filings?",
      "a": "In the April 2026 filing data: Regulatory assets under management went from $102,389,997 to $114,468,604 (+12%). Registered or notice-filed in NJ."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 75037067.0,
      "total_employees": 2,
      "filing_date": "2021-05-12"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 88387021.0,
      "total_employees": 2,
      "filing_date": "2022-07-29"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 79614842.0,
      "total_employees": 2,
      "filing_date": "2023-03-30"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 85565704.0,
      "total_employees": 2,
      "filing_date": "2024-03-26"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 102389997.0,
      "total_employees": 4,
      "filing_date": "2025-03-27"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 114468604.0,
      "total_employees": 4,
      "filing_date": "2026-03-31"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Regulatory assets under management went from $102,389,997 to $114,468,604 (+12%).",
        "Registered or notice-filed in NJ."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated March 31, 2026",
    "provided_by_the_firm": false,
    "tiers": [],
    "flat_rate": null,
    "stated_range": "0.75% to 3% a year",
    "stated_maximum": null,
    "account_minimum": null,
    "account_minimum_may_be_waived": false,
    "minimum_annual_fee": null,
    "planning_fees": [
      "Hourly rate: $100 to $500 an hour (Consulting Services)",
      "Flat fee: $1,000 to $15,000 (Consulting Services)"
    ],
    "figures": [
      {
        "label": "Asset-based fee",
        "statements": [
          "Asset-based fee: 0.75% to 3% a year (a range, as the brochure states it)"
        ],
        "quotes": [
          "Our annual fees for Portfolio Management Services are based upon a percentage of assets under management and generally range from 0.75% to 3%."
        ]
      },
      {
        "label": "Planning fee",
        "statements": [
          "Hourly rate: $100 to $500 an hour (Consulting Services)"
        ],
        "quotes": [
          "Our Consulting Services fees are calculated and charged on an hourly basis, ranging from $100 to $500 per hour."
        ]
      },
      {
        "label": "Planning fee",
        "statements": [
          "Flat fee: $1,000 to $15,000 (Consulting Services)"
        ],
        "quotes": [
          "Our Consulting Services fees are calculated and charged on a fixed fee basis, typically ranging from $1,000 to $15,000, subject to the specific arrangement reached with the client."
        ]
      }
    ],
    "values": {
      "tiers": [],
      "range_pct": [
        0.75,
        3.0
      ],
      "max_pct": null,
      "account_minimum": null,
      "minimum_annual_fee": null,
      "planning": [
        {
          "kind": "hourly",
          "amount": null,
          "min": 100.0,
          "max": 500.0,
          "period": "hour",
          "service": "Consulting Services"
        },
        {
          "kind": "flat",
          "amount": null,
          "min": 1000.0,
          "max": 15000.0,
          "period": "one_time",
          "service": "Consulting Services"
        }
      ]
    },
    "quotes": [
      "Our annual fees for Portfolio Management Services are based upon a percentage of assets under management and generally range from 0.75% to 3%.",
      "Our Consulting Services fees are calculated and charged on an hourly basis, ranging from $100 to $500 per hour.",
      "Our Consulting Services fees are calculated and charged on a fixed fee basis, typically ranging from $1,000 to $15,000, subject to the specific arrangement reached with the client."
    ],
    "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
    }
  ],
  "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/engleson-and-associates-rochester-ny-126349.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 274,
      "fewer_than_5": false,
      "raum": 31214607.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 88,
      "fewer_than_5": false,
      "raum": 83253997.0
    },
    {
      "type": "banking_thrift",
      "label": "Banking or thrift institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "business_development_companies",
      "label": "Business development companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "sovereign_wealth_foreign_official",
      "label": "Sovereign wealth funds and foreign official institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "other",
      "label": "Other",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    }
  ],
  "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/126349",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}