{
  "crd_number": 145026,
  "slug": "sawyer-falduto-asset-management-llc-elmhurst-il-145026",
  "primary_business_name": "SAWYER FALDUTO ASSET MANAGEMENT, LLC",
  "legal_name": "SFAM, LLC",
  "dbas": [],
  "city": "Elmhurst",
  "state": "IL",
  "country": "United States",
  "cbsa_code": "16980",
  "metro": {
    "cbsa_code": "16980",
    "common_name": "Chicago",
    "msa_name": "Chicago-Naperville-Elgin, IL-IN",
    "path": "/advisors/il/chicago"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2007-09-13",
  "years_registered": 19,
  "period": "2026-10-01",
  "filing_date": "2026-03-27",
  "carried_forward": false,
  "raum_total": 896524840.0,
  "raum_discretionary": 896524840.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "500m_1b",
  "raum_band_label": "$500 million to $1 billion",
  "total_employees": 6,
  "advisory_employees": 4,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "other": {
      "raum": 8822970.0,
      "count": 15,
      "description": "PROFESSIONAL ASSOCIATIONS"
    },
    "charitable": {
      "raum": 6217008.0,
      "count": 7
    },
    "individuals": {
      "raum": 62947493.0,
      "count": 203
    },
    "state_municipal": {
      "raum": 682623713.0,
      "count": 239
    },
    "pension_profit_sharing": {
      "raum": 12164041.0,
      "count": null,
      "fewer_than_5": true
    },
    "high_net_worth_individuals": {
      "raum": 123749615.0,
      "count": 50
    }
  },
  "compensation_types": [
    "fixed",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "portfolio_management_businesses_institutional",
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": true,
  "disclosure_yes_count": 0,
  "states_registered": [
    "FL",
    "IL",
    "MI",
    "TX"
  ],
  "websites": [
    "https://sawyerfalduto.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/145026",
  "city_as_filed": "ELMHURST",
  "url": "https://advisorcensus.com/firm/sawyer-falduto-asset-management-llc-elmhurst-il-145026",
  "display_name": "Sawyer Falduto Asset Management, LLC",
  "summary": "Sawyer Falduto Asset Management, LLC is an SEC-registered investment advisory firm in Elmhurst, IL, registered since 2007, reporting $500 million to $1 billion in regulatory assets under management in its Form ADV filing dated March 27, 2026.",
  "citation": "AdvisorCensus. Sawyer Falduto Asset Management, LLC (CRD 145026): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Fixed fees (other than subscription fees)"
  ],
  "advisory_activity_labels": [
    "Portfolio management for individuals and/or small businesses",
    "Portfolio management for businesses (other than small businesses) or institutional clients"
  ],
  "quick_answers": [
    {
      "q": "How is Sawyer Falduto Asset Management, LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Sawyer Falduto Asset Management, LLC reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees)."
    },
    {
      "q": "How much does Sawyer Falduto Asset Management, LLC charge?",
      "a": "Its Form ADV Part 2A brochure dated March 26, 2026 states: Flat fee: up to $1,000 a month (certain pension fund clients). Fees can differ by service and may be negotiable; the brochure is the complete statement."
    },
    {
      "q": "Where is Sawyer Falduto Asset Management, LLC located?",
      "a": "Sawyer Falduto Asset Management, LLC's principal office is in Elmhurst, IL, according to its Form ADV."
    },
    {
      "q": "Is Sawyer Falduto Asset Management, LLC registered with the SEC or a state?",
      "a": "Sawyer Falduto Asset Management, LLC is an SEC-registered investment advisory firm, registered since 2007. Status as filed: Approved. CRD 145026."
    },
    {
      "q": "How much does Sawyer Falduto Asset Management, LLC manage?",
      "a": "Sawyer Falduto Asset Management, LLC reports $896,524,840 in regulatory assets under management in its Form ADV filing dated March 27, 2026 (100% discretionary)."
    },
    {
      "q": "How have Sawyer Falduto Asset Management, LLC's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Sawyer Falduto Asset Management, LLC: Regulatory assets under management: $4,240,647,545 in the October 2021 data and $896,524,840 in the October 2026 data, down 79%. Total employees: 7 in October 2021 and 6 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Sawyer Falduto Asset Management, LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: state or municipal government entities (including government pension plans) (239); individuals (other than high net worth individuals) (203); high net worth individuals (50)."
    },
    {
      "q": "Which custodians does Sawyer Falduto Asset Management, LLC use?",
      "a": "Sawyer Falduto Asset Management, 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."
    },
    {
      "q": "Does Sawyer Falduto Asset Management, LLC 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/145026"
    },
    {
      "q": "What changed in Sawyer Falduto Asset Management, LLC's recent Form ADV filings?",
      "a": "In the April 2026 filing data: Regulatory assets under management went from $731,537,763 to $896,524,840 (+23%)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 4240647545.0,
      "total_employees": 7,
      "filing_date": "2021-03-29"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 4111015994.0,
      "total_employees": 7,
      "filing_date": "2022-04-04"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 786473808.0,
      "total_employees": 7,
      "filing_date": "2023-03-30"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 952164104.0,
      "total_employees": 6,
      "filing_date": "2024-03-29"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 731537763.0,
      "total_employees": 6,
      "filing_date": "2025-03-27"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 896524840.0,
      "total_employees": 6,
      "filing_date": "2026-03-27"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Regulatory assets under management went from $731,537,763 to $896,524,840 (+23%)."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated March 26, 2026",
    "provided_by_the_firm": false,
    "tiers": [],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": null,
    "account_minimum_may_be_waived": false,
    "minimum_annual_fee": "None",
    "planning_fees": [
      "Flat fee: up to $1,000 a month (certain pension fund clients)"
    ],
    "figures": [
      {
        "label": "Minimum annual fee",
        "statements": [
          "Minimum annual fee: None"
        ],
        "quotes": [
          "The Registrant generally does not require an annual minimum fee. The Registrant, in its sole discretion, may reduce its investment management fee and/or reduce or waive its minimum fee based upon certain criteria"
        ]
      },
      {
        "label": "Planning fee",
        "statements": [
          "Flat fee: up to $1,000 a month (certain pension fund clients)"
        ],
        "quotes": [
          "The Registrant may charge a flat retainer fee for certain pension fund clients. Such fee is generally negotiable but will not exceed $1,000 per month."
        ]
      }
    ],
    "values": {
      "tiers": [],
      "range_pct": null,
      "max_pct": null,
      "account_minimum": null,
      "minimum_annual_fee": 0.0,
      "planning": [
        {
          "kind": "flat",
          "amount": null,
          "min": null,
          "max": 1000.0,
          "period": "monthly",
          "service": "certain pension fund clients"
        }
      ]
    },
    "quotes": [
      "The Registrant generally does not require an annual minimum fee. The Registrant, in its sole discretion, may reduce its investment management fee and/or reduce or waive its minimum fee based upon certain criteria",
      "The Registrant may charge a flat retainer fee for certain pension fund clients. Such fee is generally negotiable but will not exceed $1,000 per month."
    ],
    "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/sawyer-falduto-asset-management-llc-elmhurst-il-145026.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 203,
      "fewer_than_5": false,
      "raum": 62947493.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 50,
      "fewer_than_5": false,
      "raum": 123749615.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": null,
      "fewer_than_5": true,
      "raum": 12164041.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 7,
      "fewer_than_5": false,
      "raum": 6217008.0
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": 239,
      "fewer_than_5": false,
      "raum": 682623713.0
    },
    {
      "type": "other",
      "label": "Other",
      "count": 15,
      "fewer_than_5": false,
      "raum": 8822970.0
    }
  ],
  "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/145026",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}