SAXON WOODS ADVISORS LLC
Adviser information for SAXON WOODS ADVISORS LLC last updated from Form ADV on March 27th, 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 14 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 163 | $718.6M |
| Non-Discretionary | 0 | $0 |
| Total | 163 | $718.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 59 | $14.0M |
| HNW Individuals | 87 | $470.2M |
| 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 | <5 | $7.4M |
| Charitable organizations | 14 | $226.4M |
| 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 | <5 | $519,179 |
| 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 | 801-56910 |
|---|---|
| SEC ERA File Number | 801-56910 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 109686 |
| Legal Entity Identifier | None |
Principal Office
2500 WESTCHESTER AVENUESUITE 300
PURCHASE
NY
United States
Monday - Friday, 9:00AM-5:00PM
Tel: 914-251-0880, Fax: 914-251-9098
Websites
Chief Compliance Officer
SUSAN NORRIS
CHIEF COMPLIANCE OFFICER
2500 WESTCHESTER AVENUE
SUITE 300
PURCHASE
NY
United States
Tel:
914-251-0880
Fax:
914-251-9098
S******@**************M
(Full email address available in API data)
Industry Affiliates
| ALPINE WOODS ADVISORS, LLC | Sponsor, GP, manager of pooled investment vehicles |
| ALPINE WOODS CAPITAL INVESTORS, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| ALPINE WOODS MASTERS FUNDS GP LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BAEZ, ARLEEN, MARIE | Individual | – | CHIEF OPERATIONS OFFICER | 06/2008 | 25-50% |
| NORRIS, SUSAN, CONWAY | Individual | – | CHIEF COMPLIANCE OFFICER | 05/2018 | < 5% |
| SPELLMAN, MARK, THOMAS | Individual | – | CHIEF EXECUTIVE OFFICER | 06/2022 | 25-50% |
| HUNT, SARAH, MARIE | Individual | – | CHIEF MARKET STRATEGIST | 06/2022 | 10-25% |
| HENNESSEY, BRIAN, SCOTT | Individual | – | CHIEF INVESTMENT OFFICER | 06/2022 | 10-25% |
| ALPINE SAXON WOODS, LLC | Domestic Entity | – | MANAGING MEMBER | 06/2022 | > 75% |
| BAEZ, ARLEEN, MARIE | Individual | ALPINE SAXON WOODS, LLC | MANAGING MEMBER | 06/2022 | 25-50% |
| SPELLMAN, MARK, THOMAS | Individual | ALPINE SAXON WOODS, LLC | MEMBER | 06/2022 | 25-50% |