Saxony Capital Management provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, and selecting other managers. Financial planning was provided to 1–10 clients last fiscal year.
Saxony Capital Management reports 762 clients. They include 659 individual clients, 97 high-net-worth individuals, and 5 corporations and other businesses. Of its assets, 95.5% ($351M across 1,445 accounts) are managed with discretion; $16.4M across 43 accounts are not.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 86% | 46% |
| High-net-worth individuals | 13% | 54% |
| Charitable organizations | <1% | <1% |
| Corporations and other businesses | <1% | <1% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 659 | $168M | 45.7% | $255K |
| High-net-worth individuals | 97 | $198M | 53.7% | $2.04M |
| Charitable organizations | Fewer than 5 | $110K | 0.0% | $110K |
| Corporations and other businesses | 5 | $2.09M | 0.6% | $418K |
| Total | 762 | $368M | 100% | — |
- Clients
- 659
- Regulatory AUM
- $168M
- AUM share
- 45.7%
- Avg. per client
- $255K
- Clients
- 97
- Regulatory AUM
- $198M
- AUM share
- 53.7%
- Avg. per client
- $2.04M
- Clients
- Fewer than 5
- Regulatory AUM
- $110K
- AUM share
- 0.0%
- Avg. per client
- $110K
- Clients
- 5
- Regulatory AUM
- $2.09M
- AUM share
- 0.6%
- Avg. per client
- $418K
Total
- Clients
- 762
- Regulatory AUM
- $368M
- AUM share
- 100%
- Avg. per client
- —
- 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
Saxony Capital Management charges 1.20%–2.20% for its SCM – AMAs. The brochure does not state whether the rate is annual. Each asset band is charged at its own rate. The fee is billed in advance, is negotiable and has a $125 annual minimum. The brochure also prices one other service, listed under fee details.
| Asset band | Rate (period not stated) |
|---|---|
| $100K–$500K | 2.20% |
| $500K–$1M | 1.90% |
| $1M–$2M | 1.60% |
| $2M–$5M | 1.30% |
| $5M and above | 1.20% |
Fee details and sources
Other fees
- Financial planning and consulting
- Financial planning and consulting services are billed hourly at $250 per hour, with no maximum fee; fees are negotiable.
Saxony Financial Holdings, LLC owns 75% or more of Saxony Capital Management. The leadership team of Saxony Capital Management includes President Charles Dairaghi and Chief Compliance Officer Mark Thompson. It has 6 employees.
Leadership
- Charles DairaghiSenior Vice President
- Lynn GriffardSenior Vice President
- Ryan KlumpPresident
- Kurt PalosSenior Vice President
- Richard WillsonSenior Vice President
- Mark ThompsonChief Compliance Officer
- Christopher DyeCompliance Associate
Investment adviser representatives
41 representatives listed in the SEC register as of 9 October 2026.
- Mark David Aigner
- Aaron James Armstrong
- Brian Charles Baker
- Ismail Baram
- Gene Alvin Brehm
- Jennifer Marie Bruer
- William Robert Cunningham
- Brent Wayne DeRossett
- Jonathan Ewanio
- Victor Giustina
- Lynn Rae Griffard
- Philip Ludwig Hammer
- Eric Hoffman
- Patrick William Hogan
- Raymond Felix Housteau II
- Ryan Michael Housteau
- Jamie Louise Kaestner
- Steven Douglas Kaestner
- Ryan Christopher Klump
- Korey MIchael Knepper
- Robert Charles Larios
- Matthew Alan Lesnikowski
- Craig Ari Lieber
- Tim A Mackowiak
- Kenneth T. Millar
- Jarad Byram Mitchell
- Kurt Robert Palos
- Aliexander Nash Parker
- David Robert Paske
- Jason Glen Pueschel
- Richard Cobb Ranson
- Nicholas Michael Romay
- Michael Edward Sabelli
- Stephen Patrick Schmitt Jr
- Daniel Stuart Schmitz II
- Thomas Joseph Scorcia
- Kimberly Lynn Steinbrenner
- Daniel Edward Tabash
- Mark Stephen Thompson
- Virginia Frances Thompson
- Terrance Michael Webster
Staff
- 6 employees
- 3 state-registered reps
- 3 broker-dealer reps
- Owns 75% or more of Saxony Capital Management LLC.
Saxony Financial Holdings, LLC
Control person · since September 2002
Saxony Capital Management’s regulatory assets grew from $314M (April 2021) to $368M (October 2026); clients rose from 497 to 762 and employees were 6 in both filings.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| October 2026 | $368M | 762 | 6 | 23 |
| July 2025 | $298M | 692 | 6 | 19 |
| July 2024 | $239M | 666 | 6 | 22 |
| July 2023 | $163M | 311 | 7 | 18 |
| June 2022 | $370M | 593 | 6 | 22 |
| April 2021 | $314M | 497 | 6 | 21 |
Besides its headquarters, Saxony Capital Management has 22 offices (9 private residences, listed without an address), with 12 listed addresses across 9 states.
Missouri · 3 listed addresses
- 11152 S Towne Square, Saint LouisHQ
- 5507 N. Farmer RD, Ozark
- 800 State Hwy 248, Branson
Ohio · 2 listed addresses
- 1502 University BLVD, Hamilton
- 850 Boardman Canfield Road, Boardman
Florida · 1 listed address
- 2645 Executive Park DR, Weston
Illinois · 1 listed address
- 111 Barclay BLVD, Lincolnshire
Minnesota · 1 listed address
- 702 N. 1st St., Minneapolis
New Jersey · 1 listed address
- 901 Lincoln Drive West, Marlton
New York · 1 listed address
- 300 Hempstead Turnpike, West Hempstead
Oklahoma · 1 listed address
- 15401 N May Avenue, Edmond
Texas · 1 listed address
- 8990 Hildebrandt DR, San Antonio
Other business names
Saxony Capital Management has reported 12 other business names to the SEC.
- Advocate Cpas & Advisors, LLC
- Capital Group of America
- Central Securities of America
- Foresight Investments
- Glastonburg Group
- Golden Advising Partners
- Ironhorse Investments & Estate Planning
- Ranson Capital Management
- Saxony Advisors
- Streamline Wealth Advisors
- Tufts Financial
- Workplace Financial Advisors
Contact and registration details
- Legal name
- Saxony Capital Management LLC.
- Headquarters
- 11152 S Towne Square, Saint Louis, MO 63123
- Website
- saxonyadvisors.com
- Phone
- 314-963-9336
- SEC file
- 801-68385
- Structure
- Missouri LLC
- Fiscal year end
- December
Saxony Capital Management does not have custody of client assets.
At year end, Saxony Capital Management’s separately managed accounts were mostly in funds (65%) and stocks (22%). Its reported 13F holdings for the quarter ended 30 June 2026 total $218M across 186 positions; the largest are Vanguard Index Fds (5.1%), Meta Platforms Inc. (4.6%) and Invesco Qqq TR (3.5%).
What the accounts hold
- Stocks22%
- Funds65%
- Bonds2%
- U.S. government and agency bonds1%
- Investment grade corporate bonds1%
- Cash11%
Reported 13F holdings
- $218M
- Reported 13F value
- 186
- Positions
- 31.8%
- In the 10 largest
- +26.6%
- Value vs. prior quarter
- Vanguard Index Fds · S&P 500 ETF Shs5.1%
- Meta Platforms Inc. · CL A4.6%
- Invesco Qqq TR · Unit Ser 13.5%
- J P Morgan Exchange Traded F · JPMORGAN Intl VL3.3%
- Nvidia Corporation3.0%
- J P Morgan Exchange Traded F · Equity Premium3.0%
- Dimensional ETF Trust · Emgr Cre EQT Mng2.6%
- iShares TR · S&P 500 Val ETF2.5%
- Dimensional ETF Trust · Intl Core EQT MK2.1%
- J P Morgan Exchange Traded F · Ultra Shrt ETF2.1%
Together, the ten largest are 31.8% of reported value.
How many clients does Saxony Capital Management have?
Saxony Capital Management has 762 clients and manages $368 million for them, as of October 2026. They include 659 individual clients, 97 high-net-worth individuals, and 5 corporations and other businesses.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 1 October 2026
What services does Saxony Capital Management offer?
Saxony Capital Management provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, and selecting other managers.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How much does Saxony Capital Management charge?
Saxony Capital Management charges 1.20%–2.20% for its SCM – AMAs. The brochure does not state whether the rate is annual. Each asset band is charged at its own rate. The fee is billed in advance, is negotiable and has a $125 annual minimum.
How many financial advisors does Saxony Capital Management have?
Saxony Capital Management has 3 investment adviser representatives registered with state securities authorities, out of 6 employees, and 0 perform investment advisory functions. 3 employees are registered representatives of a broker-dealer and 0 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
What does Saxony Capital Management invest in?
At the end of its last fiscal year, Saxony Capital Management’s separately managed accounts held 65% registered funds (mutual funds, ETFs, BDCs), 22% exchange-traded equities, 11% cash and equivalents, 1% U.S. government and agency bonds and 1% investment grade corporate bonds.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Saxony Capital Management?
Saxony Capital Management’s direct owner is Saxony Financial Holdings, LLC (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 1 October 2026
How does Saxony Capital Management get paid?
Saxony Capital Management is paid through a percentage of assets under management, hourly charges, fixed fees and other compensation. 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
Is Saxony Capital Management registered with the SEC?
Yes, Saxony Capital Management has been registered with the SEC as an investment adviser since 15 October 2007. Its CRD number is 122692 and its SEC file number is 801-68385.
Source: Form ADV Part 1A, Item 1, filed 1 October 2026; IAPD firm record
How do I contact Saxony Capital Management?
Saxony Capital Management’s main office is at 11152 S Towne Square, Saint Louis, MO 63123. Its phone number is 314-963-9336. Its website is saxonyadvisors.com.