E
Engleson & Associates
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$114,468,604
Clients
362
24% high-net worth
Advisors
1
of 4 employees
Firm type
Supported
1-3 advisors or $200M+ in AUM
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
362
Very HighAverage account size
$316,212
About
Engleson & Associates provides investment supervisory services and consulting primarily to individual clients (including high‑net‑worth individuals), as well as charitable organizations and businesses, offering both discretionary and non‑discretionary portfolio management and targeted financial consultations. The firm describes tailored investment policy development that considers clients’ objectives, time horizons, risk tolerance and liquidity needs.
The firm’s investment process blends fundamental, technical and cyclical analysis and deploys a range of strategies from long‑term holdings to short‑term trading, including short sales, options and structured notes for risk management and downside mitigation. Engleson & Associates also uses sub‑advisory arrangements for specialized approaches — including direct indexing with automated, year‑round tax‑loss harvesting — and conducts at least monthly reviews of managed accounts.
Distinctive features disclosed in the brochure include that firm personnel hold broker‑dealer and insurance licenses and may effect commissionable transactions in a separate capacity, and the firm’s president is a licensed attorney who maintains limited outside legal and other business activities, which the firm identifies as potential conflicts of interest. The explicit use of derivatives (options and structured notes) and short‑selling within client portfolios, together with routine reliance on sub‑advisers for direct indexing, are practices the firm highlights that are less common among peers.
Client services
Financial planning
Portfolio management
Expertise
Options & derivatives strategies
Tax-loss harvesting
Fee options
$1,000 to $15,000
0.75% to 3%
$100 to $500 per hour
Main office location
Engleson & Associates
930 East Avenue, Suite 300
Rochester NY 14607, United States
Number of offices
1
Most active in
Engleson & Associates has reported serving >5 clients in these states in the last 12 months.
Florida · New Jersey · New York · Pennsylvania · Virginia
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Lawyer
They provide legal services, typically billed separately.
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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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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