Sauberan & Company, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$5,810,307
Total clients
45
0% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
45
Average account size
$129,118
About
Sauberan & Company provides financial planning and discretionary investment management to individuals, families, small businesses, trusts, estates and charitable organizations, typically working with clients who have at least $200,000 in investable assets. The firm’s principal holds the CERTIFIED FINANCIAL PLANNER™ designation and has operated the advisory practice for about 35 years.
The firm employs a macroeconomic, top‑down investment approach, selecting individual stocks, corporate bonds and U.S. Treasury securities while emphasizing preservation of capital, a long‑term (7–10 year) time horizon, and reduction of market risk. Sauberan & Company combines fundamental, qualitative and quantitative analysis and may use both passive strategies (buy/hold, indexing) and active techniques (cash‑flow analysis, momentum trading) as market conditions dictate; accounts are managed on a discretionary basis.
Noteworthy operational features disclosed in the brochure include a fee‑only, non‑wrap model with no performance‑based fees, no soft‑dollar arrangements, custody through an independent custodian, and reliance on custodial statements (with quarterly reviews) rather than in‑house periodic performance reports. The firm reported managing $9.3 million on a discretionary basis as of October 1, 2025 and states it has no investment affiliations or external adviser relationships, which the brochure identifies as minimizing related conflicts of interest.
Client services
Financial planning
Portfolio management
Fee options
1% annually of managed assets, paid quarterly in arrears; up to 1.5% annually in complex situations with prior agreement
Account minimum: $200,000+ in investable assets Fee-only: Fee-only basis, advisory fees deducted from client accounts quarterly in arrears
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 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.
Main office location
Sauberan & Company, LLC
175 Walnut St Suite#2
Lockport NY 14094, United States
Number of offices
1
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