AdvisorCensus / Financial advisors / New York / Buffalo / WNY Asset Management, LLC
WNY Asset Management, LLC is an SEC-registered investment advisory firm in Williamsville, NY, registered since 2010, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated March 19, 2026.
Quick answers
From the filingHow is WNY Asset Management, LLC compensated?
On its Form ADV (Item 5.E, October 2026), WNY Asset Management, LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees).
Where is WNY Asset Management, LLC located?
WNY Asset Management, LLC's principal office is in Williamsville, NY, according to its Form ADV; the April 2026 filing also lists 2 other offices (Schedule D, Section 1.F).
Is WNY Asset Management, LLC registered with the SEC or a state?
WNY Asset Management, LLC is an SEC-registered investment advisory firm, registered since 2010. Status as filed: Approved. CRD 153872.
How much does WNY Asset Management, LLC manage?
WNY Asset Management, LLC reports $1,729,468,767 in regulatory assets under management in its Form ADV filing dated March 19, 2026 (100% discretionary).
How have WNY Asset Management, LLC's assets and staff changed since 2021?
In the Form ADV data for WNY Asset Management, LLC: Regulatory assets under management: $947,628,274 in the October 2021 data and $1,729,468,767 in the October 2026 data, up 83%. Total employees: 26 in October 2021 and 35 in October 2026. Assets under management move with markets as well as with clients coming and going.
What types of clients does WNY Asset Management, LLC serve?
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (2,851); high net worth individuals (383); corporations or other businesses not listed above (17).
Which custodians does WNY Asset Management, LLC use?
WNY 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.
Does WNY Asset Management, 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/153872
Does WNY Asset Management, LLC state an account minimum?
Its Form ADV Part 2A brochure dated March 19, 2026 says: "The Registrant does not generally require an annual minimum fee or minimum asset level." "The Registrant’s clients shall generally include individuals, business entities, trusts, pension and profit sharing plans, estates and charitable organizations. The Registrant does not generally require an annual minimum fee or minimum asset level."
What changed in WNY Asset Management, LLC's recent Form ADV filings?
In the April 2026 filing data: Regulatory assets under management went from $1,450,691,313 to $1,729,468,767 (+19%).
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Fees and minimums
Form ADV Part 2AAccount minimum: None
The brochure's wording
The Registrant does not generally require an annual minimum fee or minimum asset level.
The Registrant’s clients shall generally include individuals, business entities, trusts, pension and profit sharing plans, estates and charitable organizations. The Registrant does not generally require an annual minimum fee or minimum asset level.
As stated in the firm's Form ADV Part 2A brochure dated March 19, 2026. Fees can differ by service and may be negotiable; the brochure is the complete statement. Read the brochure on the SEC's IAPD site
Regulatory assets under management
Item 5.F$1,729,468,767 as of October 2026, filing dated March 19, 2026.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
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
- Educational seminars/workshops
Registration and firm details
Items 1, 2, 5- Also doing business as
- SPECTRUM WEALTH MANAGEMENT
- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 2010 (16 years)
- Employees
- Total: 35. Performing investment advisory functions: 18.
- Wrap fee program participation
- No.
- Custodians (Schedule D, Section 5.K(3))
-
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.
- Other offices (Schedule D, Section 1.F)
-
2 other offices, as of the April 2026 filing
- States registered or notice-filed
-
22 states or jurisdictions
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Assets and staff over time
Items 5.A, 5.F| Data period | Assets under management | Employees | Filing dated |
|---|---|---|---|
| October 2026 | $1,729,468,767 | 35 | March 19, 2026 |
| October 2025 | $1,450,691,313 | 39 | July 14, 2025 |
| October 2024 | $1,297,442,303 | 39 | May 20, 2024 |
| October 2023 | $1,106,305,725 | 31 | September 12, 2023 |
| October 2022 | $1,202,102,032 | 32 | June 15, 2022 |
| October 2021 | $947,628,274 | 26 | September 9, 2021 |
Regulatory assets under management: $947,628,274 in the October 2021 data and $1,729,468,767 in the October 2026 data, up 83%.
Total employees: 26 in October 2021 and 35 in October 2026.
As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.
Changes in the filing
Last 12 months- April 2026
- Regulatory assets under management went from $1,450,691,313 to $1,729,468,767 (+19%).
- December 2025
- Registered or notice-filed in WA.
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.ISource: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. WNY Asset Management, LLC (CRD 153872): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/wny-asset-management-llc-williamsville-ny-153872