{ "crd_number": 106317, "slug": "sauberan-and-company-llc-lockport-ny-106317", "primary_business_name": "SAUBERAN & COMPANY, LLC", "legal_name": "SAUBERAN & COMPANY, LLC", "dbas": [], "city": "Lockport", "state": "NY", "country": "United States", "cbsa_code": "15380", "metro": { "cbsa_code": "15380", "common_name": "Buffalo", "msa_name": "Buffalo-Cheektowaga, NY", "path": "/advisors/ny/buffalo" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "1991-04-19", "years_registered": 35, "period": "2026-10-01", "filing_date": "2026-09-30", "carried_forward": false, "raum_total": 5810307.0, "raum_discretionary": 5810307.0, "raum_non_discretionary": 0.0, "raum_band": "under_25m", "raum_band_label": "Under $25 million", "total_employees": 1, "advisory_employees": 1, "client_count_bucket": null, "clients_by_type": { "individuals": { "raum": 5810307.0, "count": 45 } }, "compensation_types": [ "percentage_of_aum" ], "advisory_activities": [ "portfolio_management_individuals" ], "wrap_fee_participant": false, "disclosure_yes_count": 1, "states_registered": [ "NY" ], "websites": [ "https://sauberanandcompany.com" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/106317", "disclosure_items": [ { "item": "11.C(2)", "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?" } ], "city_as_filed": "LOCKPORT", "url": "https://advisorcensus.com/firm/sauberan-and-company-llc-lockport-ny-106317", "display_name": "Sauberan & Company, LLC", "summary": "Sauberan & Company, LLC is an SEC-registered investment advisory firm in Lockport, NY, registered since 1991, reporting under $25 million in regulatory assets under management in its Form ADV filing dated September 30, 2026.", "citation": "AdvisorCensus. Sauberan & Company, LLC (CRD 106317): 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": [ "Portfolio management for individuals and/or small businesses" ], "quick_answers": [ { "q": "How is Sauberan & Company, LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Sauberan & Company, LLC reports these compensation arrangements: a percentage of assets under its management. The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Where is Sauberan & Company, LLC located?", "a": "Sauberan & Company, LLC's principal office is in Lockport, NY, according to its Form ADV." }, { "q": "Is Sauberan & Company, LLC registered with the SEC or a state?", "a": "Sauberan & Company, LLC is an SEC-registered investment advisory firm, registered since 1991. Status as filed: Approved. CRD 106317." }, { "q": "How much does Sauberan & Company, LLC manage?", "a": "Sauberan & Company, LLC reports $5,810,307 in regulatory assets under management in its Form ADV filing dated September 30, 2026 (100% discretionary)." }, { "q": "How have Sauberan & Company, LLC's assets and staff changed since 2021?", "a": "In the Form ADV data for Sauberan & Company, LLC: Regulatory assets under management: $51,445,793 in the October 2021 data and $5,810,307 in the October 2026 data, down 89%. Total employees: 1 in October 2021 and 1 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Sauberan & Company, LLC serve?", "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (45)." }, { "q": "Does Sauberan & Company, LLC report any disciplinary disclosures?", "a": "Reports 1 disclosure item on Form ADV Item 11: yes answers to 11.C(2) (SEC or CFTC finding of a violation). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/106317" }, { "q": "What changed in Sauberan & Company, LLC's recent Form ADV filings?", "a": "In the May 2026 filing data: Item 11 disclosure answers changed: 1 yes answer, previously 0 (now yes: 11.C(2))." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 51445793.0, "total_employees": 1, "filing_date": "2021-04-07" }, { "period": "2022-10-01", "regulatory_assets_under_management": 33793951.0, "total_employees": 1, "filing_date": "2022-03-30" }, { "period": "2023-10-01", "regulatory_assets_under_management": 26424816.0, "total_employees": 1, "filing_date": "2023-03-30" }, { "period": "2024-10-01", "regulatory_assets_under_management": 26424816.0, "total_employees": 1, "filing_date": "2023-03-30" }, { "period": "2025-10-01", "regulatory_assets_under_management": 5810307.0, "total_employees": 1, "filing_date": "2025-03-13" }, { "period": "2026-10-01", "regulatory_assets_under_management": 5810307.0, "total_employees": 1, "filing_date": "2026-09-30" } ], "recent_changes": [ { "period": "2026-05-01", "period_label": "May 2026", "notes": [ "Item 11 disclosure answers changed: 1 yes answer, previously 0 (now yes: 11.C(2))." ] } ], "fees_from_brochure": null, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/sauberan-and-company-llc-lockport-ny-106317.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 45, "fewer_than_5": false, "raum": 5810307.0 } ], "disclosure_line": "Reports 1 disclosure item on Form ADV Item 11.", "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/106317", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }