# Sauberan & Company, LLC

> 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.

- CRD: 106317
- Filed as: SAUBERAN & COMPANY, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Lockport, NY
- Filing period: October 2026
- Form ADV filing dated: September 30, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/106317
- AdvisorCensus page: https://advisorcensus.com/firm/sauberan-and-company-llc-lockport-ny-106317

## Quick answers

**How is Sauberan & Company, LLC compensated?**
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.

**Where is Sauberan & Company, LLC located?**
Sauberan & Company, LLC's principal office is in Lockport, NY, according to its Form ADV.

**Is Sauberan & Company, LLC registered with the SEC or a state?**
Sauberan & Company, LLC is an SEC-registered investment advisory firm, registered since 1991. Status as filed: Approved. CRD 106317.

**How much does Sauberan & Company, LLC manage?**
Sauberan & Company, LLC reports $5,810,307 in regulatory assets under management in its Form ADV filing dated September 30, 2026 (100% discretionary).

**How have Sauberan & Company, LLC's assets and staff changed since 2021?**
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.

**What types of clients does Sauberan & Company, LLC serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (45).

**Does Sauberan & Company, LLC report any disciplinary disclosures?**
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

**What changed in Sauberan & Company, LLC's recent Form ADV filings?**
In the May 2026 filing data: Item 11 disclosure answers changed: 1 yes answer, previously 0 (now yes: 11.C(2)).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management

### Regulatory assets under management (Item 5.F)
- Total: $5,810,307
- Discretionary: $5,810,307
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 45 | $5,810,307 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses

### Firm details
- Registered since: 1991 (35 years)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: NY
- Disclosures (Item 11): Reports 1 disclosure item on Form ADV Item 11.

### Item 11 questions answered yes
- 11.C(2): 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?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/106317

### Websites listed on Form ADV (Item 1.I)
- [sauberanandcompany.com](https://sauberanandcompany.com)

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $51,445,793 | 1 | April 7, 2021 |
| October 2022 | $33,793,951 | 1 | March 30, 2022 |
| October 2023 | $26,424,816 | 1 | March 30, 2023 |
| October 2024 | $26,424,816 | 1 | March 30, 2023 |
| October 2025 | $5,810,307 | 1 | March 13, 2025 |
| October 2026 | $5,810,307 | 1 | September 30, 2026 |

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.

## Changes in the filing (last 12 months)

### May 2026
- Item 11 disclosure answers changed: 1 yes answer, previously 0 (now yes: 11.C(2)).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Sauberan & Company, LLC (CRD 106317): Form ADV filing data as of October 2026.