SAPERSTON LEGACY ADVISORS, INC.
Adviser information for SAPERSTON LEGACY ADVISORS, INC. last updated from Form ADV on March 28th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | New York, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 3 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 3 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 122 | $46.5M |
| Non-Discretionary | 1 | $7.4M |
| Total | 123 | $53.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 114 | $6.5M |
| HNW Individuals | 7 | $47.3M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 2 | $54,901 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-121038 |
|---|---|
| SEC ERA File Number | 801-121038 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 105849 |
| Legal Entity Identifier | None |
Principal Office
172 LAKE STREETHAMBURG
NY
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: 716-649-9800, Fax: 716-649-9875
Chief Compliance Officer
KRISTINA L. SAPERSTON
PRESIDENT, CCO
172 LAKE STREET
HAMBURG
NY
United States
Tel:
716-649-9800
Fax:
716-649-9875
K***@******************M
(Full email address available in API data)
Regulatory Contact
SAPERSTON, KAREN L
OPERATIONS ASST
172 LAKE STREET
HAMBURG
NY
United States
Tel:
716-649-9800
Fax:
716-649-9875
K****@******************M
(Full email address available in API data)
Industry Affiliates
| SAPERSTON MANAGEMENT SERVICES, INC. | Insurance company or agency |
| SAPERSTON MANAGEMENT SERVICES, INC. | Accountant or accounting firm |
| SAPERSTON REAL ESTATE CORP. | Real estate broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SAPERSTON, KRISTINA, LYNN | Individual | – | PRESIDENT/SECRETARY | 01/2017 | < 5% |
| SAPERSTON, KRISTINA, LYNN | Individual | – | CHIEF COMPLIANCE OFFICER | 10/2018 | < 5% |
| HILLVIEW III, LLC | Domestic Entity | – | SHAREHOLDER | 03/2021 | > 75% |
| KAREN SAPERSTON TRUSTEE FOR DANIEL SAPERSTON IRREVOCABLE TRUST | Domestic Entity | HILLVIEW III, LLC | MEMBER | 03/2021 | 25-50% |
| KAREN SAPERSTON TRUSTEE FOR KRISTINA SAPERSTON IRREVOCABLE TRUST | Domestic Entity | HILLVIEW III, LLC | MEMBER | 03/2021 | 25-50% |
| KAREN SAPERSTON TRUSTEE FOR WILLARD H.J. SAPERSTON IRREVOCABLE TRUST | Domestic Entity | HILLVIEW III, LLC | MEMBER | 03/2021 | 25-50% |