# SAUBERAN & COMPANY, LLC

SAUBERAN & COMPANY, LLC of LOCKPORT, NY is an SEC-registered investment adviser.

## Registration

- CRD: 106317
- Type: SEC-registered investment adviser
- SEC file number: 801-38553
- Location: 175 WALNUT ST SUITE#2, LOCKPORT, NY, 14094
- Phone: 716-439-1265
- Latest filing: 2026-04-20
- Regulatory AUM: $5.8M
- Discretionary AUM: $5.8M
- Clients: 1
- Accounts: 56

## Business model

- Compensation: % of AUM
- Clients served: High net worth

## Officers, owners & control persons (2)

| Name | Role | Location |
| --- | --- | --- |
| Charles Keith Sauberan | PRESIDENT/CHIEF COMPLIANCE OFFICER | — |
| SAUBERAN CHARLES KEITH | PRESIDENT; PRESIDENT/CHIEF COMPLIANCE OFFICER | — |


## Disclosures (1)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2021-06-25 | regulatory | IN 2021 SAUBERAN & COMPANY WAS FINED $10,000 FOR "FAILURE TO AMEND FORM ADV TO INCLUDE A FORM CRS - RULE 204-1(E), FAILURE TO DELIVER FORM CRS TO RETAIL INVESTORS - RULE 204-5(E) AND FAILURE TO HAVE POLICIES - RULE 206(4)-7(A)." | Final | $10K |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/106317/brochure
- Similar advisers: https://search.stillhousedata.com/firm/106317/similar
- Related entities: https://search.stillhousedata.com/firm/106317/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/106317

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.