Sauberan & Company, LLC

Sauberan & Company is a small, independent registered investment adviser operating as a single-advisor practice that provides financial planning and discretionary portfolio management to individuals, families, and small businesses; the firm reports about $5.8 million in discretionary assets across roughly 45 client relationships and typically works with clients who have at least $200,000 in investable assets. Like most independent firms, it offers ongoing portfolio management rather than performance-based or commission-based compensation.

The firm’s investment approach combines a macroeconomic, top-down framework with fundamental security analysis, concentrating on individual stocks, corporate bonds and U.S. Treasury securities and emphasizing preservation of capital and a long-term (7–10 year) horizon. It may use both passive and active tactics depending on market conditions—ranging from buy-and-hold indexing to momentum- or cash-flow-driven trading—and manages client accounts on a discretionary basis.

Noteworthy aspects include its sole-practitioner model with a CFP-designated principal, an explicit policy of not participating in wrap-fee or other third-party investment programs, and execution through an institutional custodian with no receipt of soft-dollar benefits; the firm also relies on custodian statements for client reporting rather than producing in-house performance reports. The brochure discloses a 2021 regulatory fine related to failures to amend and deliver disclosure documents and to maintain required policies, a compliance item prospective clients may want to review.