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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

SAPERSTON ASSET MANAGEMENT, INC.

CRD 44379

HAMBURG, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:041da8db-912e-3829-8cd2-105afa5dd1d0

Data as of Apr 9, 2018 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:13 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Apr 9, 2018
16 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $179MItem 5.F on the latest filing (2018-04-09); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $179M
Private client RAUM: $168MderivedItem 5.D individuals plus high net worth individuals
Private client share: 94%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 13
Advisory employees: 7
Offices: 2Schedule D 1.F, beyond the principal office
Accounts: 723
Individual clients: 566
High net worth clients: 137
Custody, client assets: $162M
SEC number: 801-55180
CRD: 44379
Filings on the tape: 16
First filed: Mar 30, 2012
Latest filed: Apr 9, 2018
Organised: Corporation, Delaware

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
HASENSTAB, DAVID CHRISTOPHER	VP CHIEF COMPLIANCE OFFICER, FINANCIAL OPERATIONS PRINCIPAL	Na	yes	08/1998	Mar 30, 2012	Apr 9, 2018
SAPERSTON, KAREN LEBER	GENERAL PARTNER	F	yes	02/1998	Mar 30, 2012	Apr 9, 2018
SAPERSTON, KAREN LEBER	PRESIDENT, ROSFP, OPERATIONS & REGISTRATION	Na	yes	10/2006	Mar 30, 2012	Apr 9, 2018
SAPERSTON, WILLARD BASCH	GENERAL PARTNER	F	yes	02/1998	Mar 30, 2012	Apr 9, 2018
SCENIC BUFFALO, L.P.	SOLE SHAREHOLDER	E	yes	02/1998	Mar 30, 2012	Apr 9, 2018

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
WILLARD B SAPERSTON, INC.	n/a	Independent wealth	$181M	Y	yes	n/a
FRANKLIN MANAGEMENT SERVICES	n/a	n/a	n/a	Y	yes	n/a
SAPERSTON MANAGEMENT SERVICES, INC.	n/a	n/a	n/a	Y	yes	n/a
SAPERSTON REAL ESTATE CORP.	n/a	n/a	n/a	Y	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Sarasota	FL	United States	1	yes
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2017	Mar 31, 2018	$179M	$179M	13	7	2	n/a	n/a
2016	Mar 31, 2017	$155M	$155M	11	8	n/a	n/a	n/a
2015	Mar 30, 2016	$154M	$147M	12	9	n/a	n/a	n/a
2014	Mar 31, 2015	$203M	$153M	12	9	n/a	n/a	n/a
2013	Mar 31, 2014	$192M	$146M	12	8	n/a	n/a	n/a
2012	Mar 6, 2013	$145M	$99.9M	12	7	n/a	n/a	n/a
2011	Mar 30, 2012	$144M	$96.4M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2017	$179M	$155M	15.7%	$203M	-4.1%	13	11	2	n/a

Relationships

Affiliated with (1)

→ SAPERSTON LEGACY ADVISORS, INC.Registered adviserother investment adviser, control, common control
factForm ADV

Controls (4)

← SAPERSTON, KAREN LEBEROwnerGENERAL PARTNER, ownership code F, individual
Mar 30, 2012 to presentfactForm ADV
← HASENSTAB, DAVID CHRISTOPHEROwnerVP CHIEF COMPLIANCE OFFICER, FINANCIAL OPERATIONS PRINCIPAL, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← SAPERSTON, WILLARD BASCHOwnerGENERAL PARTNER, ownership code F, individual
Mar 30, 2012 to presentfactForm ADV
← SCENIC BUFFALO, L.P.OwnerSOLE SHAREHOLDER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV

Registered with (4)

← WILLARD BASCH SAPERSTONAdvisorregistration: previous registration
Oct 8, 2013 to Nov 14, 2018factForm ADV
← KRISTINA LYNN SAPERSTONAdvisorregistration: previous registration
Sep 26, 2016 to Oct 29, 2018factForm ADV
← Ann Marie WilliamsAdvisorregistration: previous registration
Jan 25, 2017 to Oct 11, 2018factForm ADV
← Melissa Donna DarnellAdvisorregistration: previous registration
Jun 6, 2017 to Nov 15, 2017factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:041da8db-912e-3829-8cd2-105afa5dd1d0
First observed: Mar 30, 2012
Last observed: Apr 9, 2018 102 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

SAPERSTON ASSET MANAGEMENT, INC.

CRD 44379

HAMBURG, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:041da8db-912e-3829-8cd2-105afa5dd1d0

Data as of Apr 9, 2018 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:13 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

HASENSTAB, DAVID CHRISTOPHER

VP CHIEF COMPLIANCE OFFICER, FINANCIAL OPERATIONS PRINCIPAL

yes

08/1998

Mar 30, 2012

Apr 9, 2018

SAPERSTON, KAREN LEBER

GENERAL PARTNER

yes

02/1998

Mar 30, 2012

Apr 9, 2018

SAPERSTON, KAREN LEBER

PRESIDENT, ROSFP, OPERATIONS & REGISTRATION

yes

10/2006

Mar 30, 2012

Apr 9, 2018

SAPERSTON, WILLARD BASCH

GENERAL PARTNER

yes

02/1998

Mar 30, 2012

Apr 9, 2018

SCENIC BUFFALO, L.P.

SOLE SHAREHOLDER

yes

02/1998

Mar 30, 2012

Apr 9, 2018

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

WILLARD B SAPERSTON, INC.

n/a

Independent wealth

$181M

yes

n/a

FRANKLIN MANAGEMENT SERVICES

n/a

yes

n/a

SAPERSTON MANAGEMENT SERVICES, INC.

n/a

yes

n/a

SAPERSTON REAL ESTATE CORP.

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Sarasota

United States

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2017

Mar 31, 2018

$179M

n/a

2016

Mar 31, 2017

$155M

n/a

2015

Mar 30, 2016

$154M

$147M

n/a

2014

Mar 31, 2015

$203M

$153M

n/a

2013

Mar 31, 2014

$192M

$146M

n/a

2012

Mar 6, 2013

$145M

$99.9M

n/a

2011

Mar 30, 2012

$144M

$96.4M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2017

$179M

$155M

15.7%

$203M

-4.1%

n/a