# Engleson & Associates

> 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.

- CRD: 126349
- Filed as: ENGLESON & ASSOCIATES
- Legal name: Engleson & Associates, Inc.
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Rochester, NY
- Filing period: October 2026
- Form ADV filing dated: March 31, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/126349
- AdvisorCensus page: https://advisorcensus.com/firm/engleson-and-associates-rochester-ny-126349

## Quick answers

**How is Engleson & Associates compensated?**
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.

**How much does Engleson & Associates charge?**
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.

**Where is Engleson & Associates located?**
Engleson & Associates' principal office is in Rochester, NY, according to its Form ADV.

**Is Engleson & Associates registered with the SEC or a state?**
Engleson & Associates is an SEC-registered investment advisory firm, registered since 2008. Status as filed: Approved. CRD 126349.

**How much does Engleson & Associates manage?**
Engleson & Associates reports $114,468,604 in regulatory assets under management in its Form ADV filing dated March 31, 2026 (95% discretionary).

**How have Engleson & Associates' assets and staff changed since 2021?**
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.

**What types of clients does Engleson & Associates serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (274); high net worth individuals (88).

**Which custodians does Engleson & Associates use?**
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.

**Does Engleson & 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/126349

**What changed in Engleson & Associates' recent Form ADV filings?**
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.

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Commissions

### Fees and minimums (Form ADV Part 2A brochure dated March 31, 2026)

- Asset-based fee: 0.75% to 3% a year (a range, as the brochure states it)

> Our annual fees for Portfolio Management Services are based upon a percentage of assets under management and generally range from 0.75% to 3%.

- Hourly rate: $100 to $500 an hour (Consulting Services)

> Our Consulting Services fees are calculated and charged on an hourly basis, ranging from $100 to $500 per hour.

- Flat fee: $1,000 to $15,000 (Consulting Services)

> 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.

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.

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: $114,468,604
- Discretionary: $108,885,679
- Non-discretionary: $5,582,925

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 274 | $31,214,607 |
| High net worth individuals | 88 | $83,253,997 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | 0 | $0 |
| Other | 0 | $0 |

### 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

### Firm details
- Registered since: 2008 (18 years)
- Employees: 4 total, 4 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: FL, NJ, NY, PA, VA
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $75,037,067 | 2 | May 12, 2021 |
| October 2022 | $88,387,021 | 2 | July 29, 2022 |
| October 2023 | $79,614,842 | 2 | March 30, 2023 |
| October 2024 | $85,565,704 | 2 | March 26, 2024 |
| October 2025 | $102,389,997 | 4 | March 27, 2025 |
| October 2026 | $114,468,604 | 4 | March 31, 2026 |

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.

## Changes in the filing (last 12 months)

### April 2026
- Regulatory assets under management went from $102,389,997 to $114,468,604 (+12%).
- Registered or notice-filed in NJ.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Engleson & Associates (CRD 126349): Form ADV filing data as of October 2026.