Sauberan & Company, LLC

Sauberan & Company, LLC is a fee-only investment adviser registered with the U.S. Securities and Exchange Commission, with its main office in Lockport, New York. On its latest Form ADV, filed September 30, 2026, it reports $5.8M in regulatory assets under management, 45 individual clients and 1 employee who gives investment advice. It reports no commission compensation, is not registered as a broker-dealer and does not act as an insurance agent.

Key facts from Form ADV

Registration	SEC-registered
Firm CRD number	106317 · SEC file 801-38553
Office	175 Walnut ST SUITE#2 Lockport, NY 14094
Phone	(716) 439-1265
Website	sauberanandcompany.com
Regulatory assets under management	$5.8M
Individual clients	45 non-high-net-worth, 0 high-net-worth
Financial planning clients	Not reported
How it charges	Percentage of assets
Services	Portfolio management
Employees	1
Disciplinary disclosures	None reported
Latest Form ADV filing	September 30, 2026

Source: the firm’s Form ADV Part 1A as published by the SEC’s Investment Adviser Public Disclosure database, data as of November 6, 2026. Figures are self-reported by the firm.

What this means for you

• It charges only as a percentage of the assets it manages. Ask about the fee schedule and any account minimum, which Form ADV Part 1 does not record.
• Most of its individual clients are not high-net-worth, so it is likely to work with people who are still building assets.
• It reports no disciplinary history on Form ADV.

Before you hire any adviser

Read the firm’s Form ADV Part 2 brochure on its SEC record: it sets out fees, minimums, conflicts of interest and who will manage your money. Ask whether the firm acts as a fiduciary for all of your accounts, how it is paid in total, and who holds your assets. Our guide to choosing a financial adviser lists the questions to ask.

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