Sauberan & Company, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Sauberan & Company provides financial planning and discretionary investment management to individuals, families and small businesses, and typically works with clients who have at least $200,000 in investable assets. The firm is led by a CERTIFIED FINANCIAL PLANNER and manages roughly $5.8 million on behalf of about 45 client accounts.
The firm follows a macroeconomic, top‑down investment philosophy that uses fundamental analysis to select individual stocks, corporate bonds and U.S. Treasury securities, emphasizing capital preservation and a long‑term (7–10 year) buy‑and‑hold horizon. Accounts are generally managed on a discretionary, fee‑only basis and the firm states it does not participate in wrap fee programs or charge performance‑based fees.
Distinctive features include the principal’s 35 years in business and a small, concentrated client base, and the firm’s practice of not producing routine proprietary client reports, tax data, cost basis or consolidated performance history unless requested (clients receive custodian statements). The brochure discloses a 2021 regulatory fine related to ADV/CRS and policies, and the firm states it receives no soft‑dollar benefits or referral compensation from its custodian.
Client services
Expertise
Fee options
1% annually of managed assets paid in arrears on a quarterly basis; up to 1.5% annually in certain complex situations with prior agreement
Account minimum: $200,000+ Fee-only: Advisory fees only, deducted from client account; no commissions
Main office
175 Walnut St Suite#2
Lockport NY 14094
Advisors at this office
1
Most active in
New York
Also doing business as
Sauberan & Company Ltd · Sauberan & Company, LLC
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
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