# Sauberan & Company

Sauberan & Company is a Bank / Wealth / Trust based in Lockport, United States.

## Overview

- **Organization type:** Bank / Wealth / Trust
- **Headquarters:** Lockport, United States
- **Region:** North America
- **Address:** Colden, NY, United States
- **Founded:** 1990
- **Assets under management:** Undisclosed (Altss estimate: <$50M)
- **Website:** sauberanandcompany.com

## Regulatory record

- **CRD number:** 106317
- **SEC file number:** 801-38553
- **Registration status:** Registered
- **Reports private funds:** No
- **IAPD record:** https://adviserinfo.sec.gov/firm/summary/106317

## About

David Sauberan established Sauberan & Company in 1990, anchoring the investment advisory in Colden, New York — a small hamlet roughly 30 miles southeast of Buffalo. The firm's regulatory filings trace its lineage to a sole proprietorship that later formalized into a registered investment adviser, serving individuals, trusts, and corporations. The firm has not disclosed a founding liquidity event or corporate windfall that seeded the practice. The firm reports offering financial planning, portfolio management, and investment advisory services to a client base of individuals and trusts, with corporate relationships also in the mix. No direct-deal program, co-investment arm, or fund-of-funds operation is evident. The firm has not publicized specific portfolio-company holdings or named GPs with whom it co-invests. The geographic reach appears contained to New York State, with no additional offices or regional expansion announced. As of its most recent Form ADV filing, Sauberan & Company operates as a single-office practice with a small team footprint, though the firm has not published an exact headcount or total discretionary assets under management. No adjacent vehicles — such as a philanthropic foundation, real-asset subsidiary, or peer-network club affiliation — appear in public record. The firm has not announced promotions, new service lines, or material operational changes within the last 24 months, reinforcing the profile of a steady-state, relationship-preserving practice rather than a growth-oriented platform. The structural differentiator is straightforward: a solo-anchored, single-office wealth manager embedded in a rural Western New York community. There is no hybrid fund structure, no co-investor club, and no multi-family-office conversion — just a direct, fiduciary relationship between a named principal and a concentrated local client base, at a time when the wealth-management industry increasingly consolidates into large platforms.

## Sectors

- Private Credit
- Real Estate

## Questions

### Does Sauberan & Company act as a fiduciary?

Registered investment advisers in the United States owe a fiduciary duty to their clients under the Investment Advisers Act of 1940. Sauberan & Company is registered with the SEC or relevant state authority as an RIA, which means it is legally obligated to put client interests ahead of its own. Prospective clients should confirm the firm's current registration status and whether any conflicts of interest, such as commission-based revenue or affiliated-product sales, exist.

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- [C & C Financial Services](https://altss.com/profile/c-and-c-financial-services)
- [O'Brien Capital Management](https://altss.com/profile/obrien-capital-management)

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Last updated: 2026-08-11T02:43:31.692Z

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