Sauberan & Company, LLC (Lockport)

Name: Sauberan & Company, LLC
Address: 175 Walnut St Suite#2, Lockport, NY, 14094
Telephone: 716-439-1265

Sauberan & Company, LLC is a mid-sized advisory firm based in Lockport. It manages $56.12 million of regulatory assets for 237 client accounts. It has been registered with the SEC as an adviser since 2010 and has operated in the jurisdiction of New York.

Sauberan & Company provides financial planning services and portfolio management for individuals and small businesses. It prepares financial plans for more than 25 clients. On top of advisory services, the firm doesn't engage in other business activities.

Sauberan & Company: assets under management

The assets under management (AUM) of Sauberan & Company, LLC is $56.12 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 0% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $56.12 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $236.81 thousand each.

Investments

The firm invests in cash and cash equivalents the most. They account for 34% of the total AUM. The second-largest asset type is exchange traded securities, which make up 33% of the firm’s portfolio. Investments in government bonds form 33% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Sauberan & Company, LLC for their services and products based on a percentage of assets under management and hourly charges. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Charles Keith Sauberan serves?

The firm provides services to individuals and high net worth individuals. The largest group of clients of Charles Keith Sauberan is high net worth individuals with 13 clients and $32.47 million of assets under management. Among the 0 most similar advisory firms, Sauberan & Company has the 0th lowest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $56.12 million for 82 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Sauberan & Company doesn't advise any private funds.

Careers at Sauberan & Company, LLC

The company employs 1 person that is either a part- or full-time employee. 100 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Charles Keith Sauberan	President/chief compliance officer	1 Dec 1990	75% - 100%	1675594

Based in Lockport

The principal office where Sauberan & Company, LLC performs its advisory services is located at 175 Walnut St Suite#2, Lockport, NY 14094 The mailing address of the firm is Po Box 0466, Orchard Park, NY 14127 0466. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 716-439-1265. The normal business hours are 9am - 5 pm on Monday - Friday. You can find more information about the New York firm at sauberanandcompany.com.