{
  "crd_number": 122692,
  "slug": "saxony-capital-management-llc-saint-louis-mo-122692",
  "primary_business_name": "SAXONY CAPITAL MANAGEMENT, LLC",
  "legal_name": "SAXONY CAPITAL MANAGEMENT LLC.",
  "dbas": [
    "ADVOCATE CPAS & ADVISORS, LLC",
    "CAPITAL GROUP OF AMERICA",
    "CENTRAL SECURITIES OF AMERICA",
    "FORESIGHT INVESTMENTS",
    "GLASTONBURG GROUP",
    "GOLDEN ADVISING PARTNERS",
    "IRONHORSE INVESTMENTS & ESTATE PLANNING",
    "RANSON CAPITAL MANAGEMENT",
    "SAXONY ADVISORS",
    "STREAMLINE WEALTH ADVISORS",
    "TUFTS FINANCIAL",
    "WORKPLACE FINANCIAL ADVISORS"
  ],
  "city": "Saint Louis",
  "state": "MO",
  "country": "United States",
  "cbsa_code": "41180",
  "metro": {
    "cbsa_code": "41180",
    "common_name": "St. Louis",
    "msa_name": "St. Louis, MO-IL",
    "path": "/advisors/mo/st-louis"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2007-10-15",
  "years_registered": 18,
  "period": "2026-10-01",
  "filing_date": "2026-10-01",
  "carried_forward": false,
  "raum_total": 367861457.0,
  "raum_discretionary": 351418619.0,
  "raum_non_discretionary": 16442838.0,
  "raum_band": "100m_500m",
  "raum_band_label": "$100 million to $500 million",
  "total_employees": 6,
  "advisory_employees": 0,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "charitable": {
      "raum": 110499.0,
      "count": 1,
      "fewer_than_5": true
    },
    "individuals": {
      "raum": 168114458.0,
      "count": 659
    },
    "high_net_worth_individuals": {
      "raum": 197548660.0,
      "count": 97
    },
    "corporations_other_businesses": {
      "raum": 2087840.0,
      "count": 5
    }
  },
  "compensation_types": [
    "fixed",
    "hourly",
    "other",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "portfolio_management_businesses_institutional",
    "portfolio_management_individuals",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 3,
  "states_registered": [
    "AZ",
    "CA",
    "CO",
    "CT",
    "FL",
    "GA",
    "IA",
    "IL",
    "IN",
    "KY",
    "LA",
    "MA",
    "MD",
    "MI",
    "MN",
    "MO",
    "NC",
    "NE",
    "NH",
    "NJ",
    "NY",
    "OH",
    "OK",
    "OR",
    "PA",
    "SC",
    "TX",
    "VA",
    "WI"
  ],
  "websites": [
    "https://saxonyadvisors.com",
    "https://saxonycapitalmanagement.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/122692",
  "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?"
    },
    {
      "item": "11.C(4)",
      "question": "Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.C(5)",
      "question": "Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?"
    }
  ],
  "city_as_filed": "SAINT LOUIS",
  "url": "https://advisorcensus.com/firm/saxony-capital-management-llc-saint-louis-mo-122692",
  "display_name": "Saxony Capital Management, LLC",
  "summary": "Saxony Capital Management, LLC is an SEC-registered investment advisory firm in Saint Louis, MO, registered since 2007, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated October 1, 2026.",
  "citation": "AdvisorCensus. Saxony Capital Management, LLC (CRD 122692): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Hourly charges",
    "Fixed fees (other than subscription fees)",
    "Other"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Portfolio management for businesses (other than small businesses) or institutional clients",
    "Selection of other advisers (including private fund managers)"
  ],
  "quick_answers": [
    {
      "q": "How is Saxony Capital Management, LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Saxony Capital Management, LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees); other."
    },
    {
      "q": "Where is Saxony Capital Management, LLC located?",
      "a": "Saxony Capital Management, LLC's principal office is in Saint Louis, MO, according to its Form ADV; the October 2026 filing also lists 11 other offices (Schedule D, Section 1.F)."
    },
    {
      "q": "Is Saxony Capital Management, LLC registered with the SEC or a state?",
      "a": "Saxony Capital Management, LLC is an SEC-registered investment advisory firm, registered since 2007. Status as filed: Approved. CRD 122692."
    },
    {
      "q": "How much does Saxony Capital Management, LLC manage?",
      "a": "Saxony Capital Management, LLC reports $367,861,457 in regulatory assets under management in its Form ADV filing dated October 1, 2026 (96% discretionary)."
    },
    {
      "q": "How have Saxony Capital Management, LLC's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Saxony Capital Management, LLC: Regulatory assets under management: $313,704,007 in the October 2021 data and $367,861,457 in the October 2026 data, up 17%. Total employees: 6 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 Saxony Capital Management, LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (659); high net worth individuals (97); corporations or other businesses not listed above (5)."
    },
    {
      "q": "Does Saxony Capital Management, LLC report any disciplinary disclosures?",
      "a": "Reports 3 disclosure items on Form ADV Item 11: yes answers to 11.C(2) (SEC or CFTC finding of a violation), 11.C(4) (SEC or CFTC order), and 11.C(5) (SEC or CFTC civil money penalty or cease-and-desist order). 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/122692"
    },
    {
      "q": "Does Saxony Capital Management, LLC state an account minimum?",
      "a": "Its Form ADV Part 2A brochure dated January 15, 2026 says: \"Minimum account size is $100,000. Fees/Commissions are negotiable with each Advisory Client. SCM will accept accounts below dollar minimum at its discretion.\""
    },
    {
      "q": "What changed in Saxony Capital Management, LLC's recent Form ADV filings?",
      "a": "In the October 2026 filing data: No longer lists an office in Oak Creek, WI. Registered or notice-filed in MD, VA."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 313704007.0,
      "total_employees": 6,
      "filing_date": "2021-08-04"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 369830058.0,
      "total_employees": 6,
      "filing_date": "2022-08-04"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 163089052.0,
      "total_employees": 7,
      "filing_date": "2023-08-29"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 239289634.0,
      "total_employees": 6,
      "filing_date": "2024-08-29"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 297922213.0,
      "total_employees": 6,
      "filing_date": "2025-07-16"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 367861457.0,
      "total_employees": 6,
      "filing_date": "2026-10-01"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-10-01",
      "period_label": "October 2026",
      "notes": [
        "No longer lists an office in Oak Creek, WI.",
        "Registered or notice-filed in MD, VA."
      ]
    },
    {
      "period": "2026-09-01",
      "period_label": "September 2026",
      "notes": [
        "Registered or notice-filed in IA."
      ]
    },
    {
      "period": "2026-08-01",
      "period_label": "August 2026",
      "notes": [
        "Added the business name Golden Advising Partners.",
        "Added an office in Oak Creek, WI."
      ]
    },
    {
      "period": "2026-07-01",
      "period_label": "July 2026",
      "notes": [
        "No longer lists the business name Gregory Private Wealth Management.",
        "Added the business name Tufts Financial.",
        "Registered or notice-filed in WI."
      ]
    },
    {
      "period": "2026-06-01",
      "period_label": "June 2026",
      "notes": [
        "Added the business name Workplace Financial Advisors.",
        "Added the business name Streamline Wealth Advisors.",
        "Added the business name Ranson Capital Management.",
        "Added the business name Gregory Private Wealth Management.",
        "Added the business name Glastonburg Group.",
        "Added the business name Foresight Investments.",
        "Added the business name Central Securities of America.",
        "Added the business name Capital Group of America.",
        "Added the business name Advocate CPAS & Advisors, LLC.",
        "Changed its office addresses in Marlton, NJ.",
        "No longer lists an office in Gilbert, AZ.",
        "Registered or notice-filed in NH, OR."
      ]
    },
    {
      "period": "2026-03-01",
      "period_label": "March 2026",
      "notes": [
        "Changed its office addresses in San Antonio, TX.",
        "Registered or notice-filed in CO."
      ]
    },
    {
      "period": "2026-02-01",
      "period_label": "February 2026",
      "notes": [
        "Regulatory assets under management went from $297,922,213 to $367,861,457 (+23%).",
        "No longer lists an office in Blue Bell, PA.",
        "No longer lists an office in Pittsburgh, PA.",
        "Updated its list of owners and control persons (Schedule A)."
      ]
    },
    {
      "period": "2026-01-01",
      "period_label": "January 2026",
      "notes": [
        "No longer registered or notice-filed in AR, MD."
      ]
    },
    {
      "period": "2025-12-01",
      "period_label": "December 2025",
      "notes": [
        "Registered or notice-filed in IN, KY."
      ]
    },
    {
      "period": "2025-11-01",
      "period_label": "November 2025",
      "notes": [
        "Added an office in Gilbert, AZ."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated January 15, 2026",
    "tiers": [],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": "$100,000",
    "account_minimum_may_be_waived": true,
    "minimum_annual_fee": "$125",
    "figures": [
      {
        "label": "Account minimum",
        "statements": [
          "Account minimum: $100,000 (the brochure says it may be waived or negotiated)"
        ],
        "quotes": [
          "Minimum account size is $100,000. Fees/Commissions are negotiable with each Advisory Client. SCM will accept accounts below dollar minimum at its discretion."
        ]
      },
      {
        "label": "Minimum annual fee",
        "statements": [
          "Minimum annual fee: $125"
        ],
        "quotes": [
          "Minimum Account Annual Fee: $125"
        ]
      }
    ],
    "quotes": [
      "Minimum account size is $100,000. Fees/Commissions are negotiable with each Advisory Client. SCM will accept accounts below dollar minimum at its discretion.",
      "Minimum Account Annual Fee: $125"
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [],
  "custodians_note": null,
  "markdown_url": "https://advisorcensus.com/firm/saxony-capital-management-llc-saint-louis-mo-122692.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 659,
      "fewer_than_5": false,
      "raum": 168114458.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 97,
      "fewer_than_5": false,
      "raum": 197548660.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 1,
      "fewer_than_5": true,
      "raum": 110499.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 5,
      "fewer_than_5": false,
      "raum": 2087840.0
    }
  ],
  "disclosure_line": "Reports 3 disclosure items 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/122692",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}