SAWYER FALDUTO ASSET MANAGEMENT, LLC

RIASEC RegisteredEst. 2007
Total AUM
$897M
Discretionary
$897M
100% of AUM
Avg account
$933K
Accounts
961
Employees
6
Advisory reps
4

Firm details

Headquarters
ELMHURST, Illinois
CRD number
145026
Registered since
September 13, 2007
Custodians
CHARLES SCHWAB & CO., INC.
Fee structure
Percentage of AUM, Fixed Fees
Client types
  • State / Municipal Government76.14%
  • HNWI13.8%
  • Individuals7.02%
  • Pension & Profit Sharing Plans1.36%
  • Other0.98%
Services
Portfolio Management for IndividualsPortfolio Management for Institutional Clients

Firm profile

FINTRX

Overview

Sawyer Falduto Asset Management, LLC is a privately owned investment advisory firm organized as an LLC and registered with the SEC since 2007. The firm serves both individual and family clients as well as institutional and business accounts, providing discretionary portfolio management for individuals/small businesses and for businesses or institutions. Its fees include a mix of assets-under-management percentage fees and fixed fees. Sawyer Falduto identifies as an active ESG investor and operates under an owner-type categorized as an individual owner.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: US Government Bonds 43%, Cash & Cash Equivalents 21%, Public Funds/Mutual Funds 16%, Other 15%, State & Local Bonds 3%, Exchange Traded Equities 2%43%
  • US Government Bonds43%
  • Cash & Cash Equivalents21%
  • Public Funds/Mutual Funds16%
  • Other15%
  • State & Local Bonds3%

Owners & executives

1 of 1
  • Edward Lavin

    Chief Investment OfficerCRD 7012067

Contacts

3 of 3
  • JACOB WALTERS

    Investment AnalystCRD 6501521

  • THOMAS SAWYER

    Co-Founder & CCOCRD 5408324

  • JOHN FALDUTO

    Co-FounderCRD 5408379

Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

ETF holdings

1 of 67

Active vs passive

$105M in ETFs

Passive

99%

$104M

Active

1%

$1.3M

ETFProviderStyleCategoryValueShares% of portfolio
VANGUARD LARGE-CAP INDEX FUND (VV)VanguardPassiveLarge Blend$25.8M86,38224.54%

Location

Primary office

ELMHURST, IL

DU PAGE

Location

ELMHURST, IL

Headquartered in ELMHURST, IL, anchoring the Chicago-Naperville, IL-IN-WI metro in the Midwest.

Metro area
Chicago-Naperville, IL-IN-WI
Region
Midwest
County
DU PAGE
Address
589 S York St
Time zone
CT (UTC-6)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth