{"url":"https://nivawealth.com/firms/caruso-mclean-and-co-126084","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/126084","regulatoryAum":281766347,"crd":"126084","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"2729658","suffix":null,"lastName":"CARUSO","firstName":"STEPHEN","middleName":"LOUIS"},{"crd":"6083918","suffix":null,"lastName":"CONWAY","firstName":"KEVIN","middleName":"W"},{"crd":"6390497","suffix":null,"lastName":"HAMLIN","firstName":"DAVID","middleName":"B"},{"crd":"722787","suffix":null,"lastName":"MCLEAN","firstName":"GREGORY","middleName":"BRUCE"}],"total":4,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-03-25","regulatoryAum":207545794,"clients":138,"employees":5,"offices":1},{"filedOn":"2022-03-30","regulatoryAum":227370046,"clients":127,"employees":5,"offices":1},{"filedOn":"2023-03-22","regulatoryAum":196965906,"clients":127,"employees":6,"offices":1},{"filedOn":"2024-03-27","regulatoryAum":232716590,"clients":131,"employees":6,"offices":1},{"filedOn":"2025-03-28","regulatoryAum":248883367,"clients":131,"employees":5,"offices":1},{"filedOn":"2026-03-18","regulatoryAum":281766347,"clients":125,"employees":5,"offices":1}],"secFileNumber":"801-64498","legalName":"Caruso 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HNW)","clients":23,"regulatoryAum":3872190},{"label":"High-net-worth individuals","clients":76,"regulatoryAum":142436995},{"label":"Pension and profit-sharing plans","clients":18,"regulatoryAum":58543774},{"label":"Charitable organizations","clients":3,"regulatoryAum":34690806},{"label":"Corporations and other businesses","clients":5,"regulatoryAum":42222582}],"feePrograms":[{"role":"main","program":"Asset management services","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=964479","versionId":964479,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-03-18","documentName":"CARUSO MCLEAN & CO DISCLOSURE BROCHURE","fee_rate_low":0.75,"fee_rate_high":1.8,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Asset allocation consulting","summary":"Asset allocation consulting is charged a discounted asset-based fee on a schedule of 1.80% to 0.75% a year, negotiable.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=964479","versionId":964479,"submittedOn":"2026-03-18","documentName":"CARUSO MCLEAN & CO DISCLOSURE BROCHURE"},{"role":"other","program":"Planning and consulting services","summary":"Planning and consulting fees are fixed by investable assets, from $500 (up to $100,000) to $4,000 (over $1,000,000), and are negotiable.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=964479","versionId":964479,"submittedOn":"2026-03-18","documentName":"CARUSO MCLEAN & CO DISCLOSURE BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T12:50:28.885944+00:00","documents":[{"name":"CARUSO MCLEAN & CO DISCLOSURE BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=964479","versionId":964479,"submittedOn":"2026-03-18"}]},"custodians":[],"custodyNote":"Caruso McLean & Co. does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Gregory McLean","title":"CEO, President, CFO","crd":"722787"},{"name":"Stephen Caruso","title":"Chief Compliance Officer","crd":"2729658"}],"ownership":[{"label":"Gregory McLean","detail":"Ceo, president, cfo in the 75% or more ownership band and a control person, since March 1988."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"New York","offices":1,"addresses":[{"street":"130 Lomond Court","city":"Utica","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"315-724-5105","stateRegisteredReps":5,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients","Pension consulting services"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":5},{"label":"U.S. government/agency bonds","percent":4},{"label":"U.S. state and local bonds","percent":3},{"label":"Securities issued by registered investment companies or business development companies","percent":85},{"label":"Cash and cash equivalents","percent":3}],"privateFunds":0},"sources":{"adv1FilingDate":"18 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/126084/PDF/126084.pdf","brochureDate":"18 March 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They include 76 high-net-worth individuals, 23 individual clients, and 18 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 18 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Caruso McLean & Co. offer?","answer":"Caruso McLean & Co. provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, and pension consulting.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Caruso McLean & Co. charge?","answer":"Caruso McLean & Co. charges 0.75%–1.80% a year for its Asset management services. The fee is billed in advance and is negotiable.","source":"CARUSO MCLEAN & CO DISCLOSURE BROCHURE, filed 18 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"How many financial advisors does Caruso McLean & Co. have?","answer":"Caruso McLean & Co. has 5 investment adviser representatives registered with state securities authorities, out of 5 employees, and 4 perform investment advisory functions. 5 employees are registered representatives of a broker-dealer and 4 employees are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Caruso McLean & Co. invest in?","answer":"At the end of its last fiscal year, Caruso McLean & Co.’s separately managed accounts held 85% registered funds (mutual funds, ETFs, BDCs), 5% exchange-traded equities, 4% U.S. government and agency bonds, 3% state and local bonds and 3% cash and equivalents.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Caruso McLean & Co.?","answer":"Caruso McLean & Co.’s direct owner is Gregory McLean (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 18 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Caruso McLean & Co. get paid?","answer":"Caruso McLean & Co. is paid through a percentage of assets under management and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Caruso McLean & Co.?","answer":"Caruso McLean & Co.’s main office is at 130 Lomond Court, Utica, NY 13502. Its phone number is 315-724-5105. Its website is carusomclean.com.","source":"Form ADV Part 1A, Item 1.F, filed 18 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}