Engleson & Associates provides financial planning, portfolio management for individuals and small businesses, and portfolio management for institutions. Financial planning was provided to 1–10 clients last fiscal year.
Engleson & Associates reports 362 clients. They include 274 individual clients and 88 high-net-worth individuals. Of its assets, 95.1% ($109M across 616 accounts) are managed with discretion; $5.58M across 11 accounts are not.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 76% | 27% |
| High-net-worth individuals | 24% | 73% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 274 | $31.2M | 27.3% | $114K |
| High-net-worth individuals | 88 | $83.3M | 72.7% | $946K |
| Total | 362 | $114M | 100% | $316K |
- Clients
- 274
- Regulatory AUM
- $31.2M
- AUM share
- 27.3%
- Avg. per client
- $114K
- Clients
- 88
- Regulatory AUM
- $83.3M
- AUM share
- 72.7%
- Avg. per client
- $946K
Total
- Clients
- 362
- Regulatory AUM
- $114M
- AUM share
- 100%
- Avg. per client
- $316K
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 1–10
Engleson & Associates charges 0.75%–3.00% a year for its Portfolio management services. The fee is negotiable. The brochure also prices one other service, listed under fee details.
Fee details and sources
Other fees
- Consulting services
- Consulting is billed hourly at $100 to $500, or as a fixed fee typically $1,000 to $15,000, or as typically .25% to 3% of assets under advisement.
Jonathan Valerie owns 75% or more of Engleson & Associates. Jonathan Valerie is CEO. It has 4 employees.
Leadership
- Jonathan ValeriePresident, Chief Executive Officer, Chief Compliance Officer
Investment adviser representatives
1 representatives listed in the SEC register as of 9 October 2026.
Staff
- 4 employees
- 4 in advisory functions
- 2 state-registered reps
- 1 broker-dealer rep
- 1 insurance agent
- Owns 75% or more of Engleson & Associates, Inc.
Jonathan Valerie
Control person · since January 2015
Engleson & Associates’ regulatory assets grew 1.5× from $75M (May 2021) to $114M (March 2026); clients were 362 in both filings and employees rose from 2 to 4.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| March 2026 | $114M | 362 | 4 | 1 |
| March 2025 | $102M | 365 | 4 | 1 |
| March 2024 | $85.6M | 301 | 2 | 1 |
| March 2023 | $79.6M | 329 | 2 | 1 |
| July 2022 | $88.4M | 327 | 2 | 1 |
| May 2021 | $75M | 367 | 2 | 1 |
Besides its headquarters, Engleson & Associates has 0 offices, with 1 listed address in New York.
New York · 1 listed address
- 930 East Avenue, Suite 300, RochesterHQ
Contact and registration details
- Legal name
- Engleson & Associates, Inc.
- Headquarters
- 930 East Avenue, Suite 300, Rochester, NY 14607
- Website
- Not reported
- Phone
- 585-424-6150
- SEC file
- 801-68896
- Structure
- New York corporation
- Fiscal year end
- December
Engleson & Associates uses Charles Schwab ($112M) as custodian for its separately managed accounts. Engleson & Associates has custody of $79.1M in client assets for 342 clients.
- Charles SchwabCharles Schwab & Co., Inc. · Westlake, TX · $112M100%
At year end, Engleson & Associates’ separately managed accounts were mostly in funds (53%) and stocks (44%).
What the accounts hold
- Stocks44%
- Funds53%
- Bonds1%
- Cash1%
- Other1%
- Derivatives1%
How many clients does Engleson & Associates have?
Engleson & Associates has 362 clients and manages $114 million for them, as of March 2026. They include 274 individual clients and 88 high-net-worth individuals.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 31 March 2026
What services does Engleson & Associates offer?
Engleson & Associates provides financial planning, portfolio management for individuals and small businesses, and portfolio management for institutions.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How much does Engleson & Associates charge?
Engleson & Associates charges 0.75%–3.00% a year for its Portfolio management services. The fee is negotiable.
Source: PART 2A, filed 31 March 2026
Which custodians does Engleson & Associates use?
Engleson & Associates’ separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $112M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 31 March 2026
How many financial advisors does Engleson & Associates have?
Engleson & Associates has 2 investment adviser representatives registered with state securities authorities, out of 4 employees, and 4 perform investment advisory functions. 1 employee is a registered representative of a broker-dealer and 1 employee is a licensed insurance agent.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Engleson & Associates invest in?
At the end of its last fiscal year, Engleson & Associates’ separately managed accounts held 53% registered funds (mutual funds, ETFs, BDCs), 44% exchange-traded equities, 1% investment grade corporate bonds, 1% derivatives and 1% cash and equivalents.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Engleson & Associates?
Engleson & Associates’ direct owner is Jonathan Valerie (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 31 March 2026
How does Engleson & Associates get paid?
Engleson & Associates is paid through a percentage of assets under management, hourly charges, fixed fees and commissions. Its Form ADV lists no 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
How do I contact Engleson & Associates?
Engleson & Associates’ main office is at 930 East Avenue, Suite 300, Rochester, NY 14607. Its phone number is 585-424-6150.