# Sacks & Associates, LLC

> Sacks & Associates, LLC is an SEC-registered investment advisory firm in Warren, NJ, registered since 2015, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 20, 2026.

- CRD: 174909
- Filed as: SACKS & ASSOCIATES, LLC
- Also doing business as: SACKS & ASSOCIATES
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Warren, NJ
- Filing period: October 2026
- Form ADV filing dated: March 20, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/174909
- AdvisorCensus page: https://advisorcensus.com/firm/sacks-and-associates-llc-warren-nj-174909

## Quick answers

**How is Sacks & Associates, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Sacks & Associates, LLC reports these compensation arrangements: a percentage of assets under its management.

**How much does Sacks & Associates, LLC charge?**
Its Form ADV Part 2A brochure dated March 20, 2026 states: Hourly rate: $400 an hour (financial advice); Hourly rate: $250 an hour (financial advice). Fees can differ by service and may be negotiable; the brochure is the complete statement.

**Where is Sacks & Associates, LLC located?**
Sacks & Associates, LLC's principal office is in Warren, NJ, according to its Form ADV.

**Is Sacks & Associates, LLC registered with the SEC or a state?**
Sacks & Associates, LLC is an SEC-registered investment advisory firm, registered since 2015. Status as filed: Approved. CRD 174909.

**How much does Sacks & Associates, LLC manage?**
Sacks & Associates, LLC reports $212,809,574 in regulatory assets under management in its Form ADV filing dated March 20, 2026 (82% discretionary).

**How have Sacks & Associates, LLC's assets and staff changed since 2021?**
In the Form ADV data for Sacks & Associates, LLC: Regulatory assets under management: $182,052,361 in the October 2021 data and $212,809,574 in the October 2026 data, up 17%. Total employees: 6 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 Sacks & Associates, LLC serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (77); high net worth individuals (66); pension and profit sharing plans (but not the plan participants or government pension plans) (1).

**Which custodians does Sacks & Associates, LLC use?**
Sacks & Associates, LLC's 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 Sacks & Associates, LLC 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/174909

## 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 20, 2026)

- Hourly rate: $400 an hour (financial advice)

> We charge an hourly rate for our financial advice. The hourly fee for Neil Sacks is $400 and supporting staff fee is $250 per hour.

- Hourly rate: $250 an hour (financial advice)

> We charge an hourly rate for our financial advice. The hourly fee for Neil Sacks is $400 and supporting staff fee is $250 per hour.

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: $212,809,574
- Discretionary: $174,676,319
- Non-discretionary: $38,133,255

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 77 | $27,328,619 |
| High net worth individuals | 66 | $185,457,200 |
| 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) | 1 | $23,755 |
| 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: 2015 (11 years)
- Employees: 4 total, 3 performing advisory functions
- Wrap fee program participation: Yes
- States registered or notice-filed: AZ, FL, MD, NJ, NY, PA, TX
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- sacks-associates.com
- Facebook @sacksassociates
- LinkedIn @sacks-&-associates-llc

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $182,052,361 | 6 | April 5, 2021 |
| October 2022 | $190,500,000 | 6 | June 23, 2022 |
| October 2023 | $169,844,548 | 5 | September 18, 2023 |
| October 2024 | $176,745,527 | 5 | February 16, 2024 |
| October 2025 | $196,135,136 | 5 | March 17, 2025 |
| October 2026 | $212,809,574 | 4 | March 20, 2026 |

Regulatory assets under management: $182,052,361 in the October 2021 data and $212,809,574 in the October 2026 data, up 17%.
Total employees: 6 in October 2021 and 4 in October 2026.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Sacks & Associates, LLC (CRD 174909): Form ADV filing data as of October 2026.