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SAUBERAN & COMPANY, LLC

LOCKPORT, NY · CRD 106317 · IAPD ↗ · sauberanandcompany.com · 716-439-1265

$5.8MRegulatory AUM
1Advisory reps
1Employees
0Clients
n/aPlanning clients
0Private funds
1States
1Disclosures
wealthSegment
ApprovedSEC status

Filing changes

50
May 2026 — SAUBERAN & COMPANY, LLC's Item 11 disclosure-reporting entries rose by 1 (0 -> 1).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
45
March 2025 — SAUBERAN & COMPANY, LLC reported RAUM down 78% ($26.4M -> $5.8M).
Regulatory AUM down >=25% since last filing.
M&A & valuationRecruiting & transitions

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.