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RIA / WealthRegistered advisermixed wealth managerSEC registeredRAUM 100m 1b

ALPINE SAXON WOODS

SAXON WOODS ADVISORS LLC, CRD 109686

PURCHASE, 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:4ae253df-c462-db3d-a1a2-6fa0eb5957a9

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:31 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 8
On other graphs: 0
Observed: Mar 30, 2012 to Mar 30, 2026
29 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: mixed wealth managerderivedprivate_client_share=0.32 fund_share=0.0 institutional_share=0.68 related_bd=false related_bank=true bd_reps=0.0
Regulatory AUM: $670MItem 5.F on the latest filing (2026-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $670M
Private client RAUM: $216MderivedItem 5.D individuals plus high net worth individuals
Private client share: 32%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 12
Advisory employees: 3
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 161
Individual clients: 51
High net worth clients: 90
SEC number: 801-56910
CRD: 109686
Filings on the tape: 29
First filed: Mar 30, 2012
Latest filed: Mar 30, 2026
Organised: Limited Liability Company, DE
Website: alpinesaxonwoods.com

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
ALPINE SAXON WOODS, LLC	MANAGING MEMBER	E	yes	06/2022	Sep 20, 2022	Mar 27, 2024
BAEZ, ARLEEN, MARIE	CHIEF OPERATIONS OFFICER	C	yes	06/2008	Mar 30, 2012	Mar 27, 2024
BAEZ, ARLEEN, MARIE	MANAGING MEMBER	C	yes	06/2022	Mar 30, 2012	Mar 27, 2024
HENNESSEY, BRIAN, SCOTT	CHIEF INVESTMENT OFFICER	B	yes	06/2022	Sep 20, 2022	Mar 27, 2024
HUNT, SARAH, MARIE	CHIEF MARKET STRATEGIST	B	yes	06/2022	Sep 20, 2022	Mar 27, 2024
NORRIS, SUSAN, CONWAY	CHIEF COMPLIANCE OFFICER	Na	yes	05/2018	Feb 15, 2013	Mar 27, 2024
SPELLMAN, MARK, THOMAS	Member	C	yes	06/2022	Sep 20, 2022	Mar 27, 2024
SPELLMAN, MARK, THOMAS	CHIEF EXECUTIVE OFFICER	C	yes	06/2022	Sep 20, 2022	Mar 27, 2024

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
ALPINE WOODS CAPITAL INVESTORS, LLC	n/a	Asset manager	$181M	N	yes	n/a
ALPINE WOODS ADVISORS, LLC	n/a	n/a	n/a	N	yes	n/a
ALPINE WOODS MASTERS FUNDS GP LLC	n/a	n/a	n/a	N	yes	n/a

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
2025	Mar 30, 2026	$670M	$670M	12	3	0	n/a	n/a
2024	Mar 31, 2025	$683M	$683M	12	3	0	n/a	n/a
2023	Mar 27, 2024	$719M	$719M	14	3	0	n/a	n/a
2022	Mar 31, 2023	$753M	$753M	15	3	0	n/a	n/a
2021	Mar 28, 2022	$1.0B	$1.0B	17	3	0	n/a	n/a
2020	Mar 31, 2021	$928M	$928M	17	3	0	n/a	n/a
2019	May 15, 2020	$864M	$864M	17	3	0	n/a	n/a
2018	Mar 29, 2019	$747M	$747M	27	9	0	n/a	n/a
2017	Mar 29, 2018	$850M	$850M	40	16	1	n/a	n/a
2016	Mar 31, 2017	$747M	$747M	44	20	n/a	n/a	n/a
2015	Mar 30, 2016	$730M	$730M	47	20	n/a	n/a	n/a
2014	Mar 31, 2015	$762M	$762M	49	22	n/a	n/a	n/a
2013	Mar 31, 2014	$720M	$720M	52	21	n/a	n/a	n/a
2012	Mar 27, 2013	$671M	$671M	49	19	n/a	n/a	n/a
2011	Mar 30, 2012	$585M	$585M	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
2025	$670M	$683M	-2.0%	$753M	-3.9%	12	12	0	0

Relationships

Affiliated with (2)

← ALPINE WOODS CAPITAL INVESTORS, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ ALPINE WOODS CAPITAL INVESTORS, LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV

Controls (6)

← NORRIS, SUSAN, CONWAYOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Feb 15, 2013 to Mar 27, 2024factForm ADV
← SPELLMAN, MARK, THOMASOwnerMEMBER, ownership code C, individual
Sep 20, 2022 to Mar 27, 2024factForm ADV
← BAEZ, ARLEEN, MARIEOwnerMANAGING MEMBER, ownership code C, individual
Mar 30, 2012 to Mar 27, 2024factForm ADV
← HUNT, SARAH, MARIEOwnerCHIEF MARKET STRATEGIST, ownership code B, individual
Sep 20, 2022 to Mar 27, 2024factForm ADV
← HENNESSEY, BRIAN, SCOTTOwnerCHIEF INVESTMENT OFFICER, ownership code B, individual
Sep 20, 2022 to Mar 27, 2024factForm ADV
← ALPINE SAXON WOODS, LLCOwnerMANAGING MEMBER, ownership code E, domestic entity
Sep 20, 2022 to Mar 27, 2024factForm ADV

Dated events

Occurred
Dec 13, 2023
Control person left
Chanfu Joe Caruso (Chief Financial Officer) no longer on Schedule A of Alpine Saxon Woods (listed 2023-03-31, absent 2023-12-13)
Form ADVobserved 4 days ago
Occurred
Sep 20, 2022
Control person joined
Thomas Mark Spellman (Chief Executive Officer) appeared on Schedule A of Alpine Saxon Woods
Form ADVobserved 4 days ago
Occurred
Sep 20, 2022
Control person joined
Marie Sarah Hunt (Chief Market Strategist) appeared on Schedule A of Alpine Saxon Woods
Form ADVobserved 4 days ago
Occurred
Sep 20, 2022
Control person joined
Scott Brian Hennessey (Chief Investment Officer) appeared on Schedule A of Alpine Saxon Woods
Form ADVobserved 4 days ago
Occurred
Mar 31, 2021
Control person left
Andrew Stephen Lieber (Member) no longer on Schedule A of Alpine Saxon Woods (listed 2020-06-30, absent 2021-03-31)
Form ADVobserved 4 days ago
Occurred
Jul 30, 2019
Control person left
Alfred Samuel Lieber (President) no longer on Schedule A of Alpine Saxon Woods (listed 2019-03-29, absent 2019-07-30)
Form ADVobserved 4 days ago
Occurred
Mar 29, 2019
Control person joined
Chanfu Joe Caruso (Chief Financial Officer) appeared on Schedule A of Alpine Saxon Woods
Form ADVobserved 4 days ago
Occurred
Mar 29, 2019
Control person left
Robert Jay Zuffante (Controller) no longer on Schedule A of Alpine Saxon Woods (listed 2018-06-04, absent 2019-03-29)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4ae253df-c462-db3d-a1a2-6fa0eb5957a9
First observed: Mar 30, 2012
Last observed: Mar 30, 2026 5 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.

ALPINE SAXON WOODS

SAXON WOODS ADVISORS LLC, CRD 109686

PURCHASE, 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:4ae253df-c462-db3d-a1a2-6fa0eb5957a9

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:31 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ALPINE SAXON WOODS, LLC

MANAGING MEMBER

yes

06/2022

Sep 20, 2022

Mar 27, 2024

BAEZ, ARLEEN, MARIE

CHIEF OPERATIONS OFFICER

yes

06/2008

Mar 30, 2012

Mar 27, 2024

BAEZ, ARLEEN, MARIE

MANAGING MEMBER

yes

06/2022

Mar 30, 2012

Mar 27, 2024

HENNESSEY, BRIAN, SCOTT

CHIEF INVESTMENT OFFICER

yes

06/2022

Sep 20, 2022

Mar 27, 2024

HUNT, SARAH, MARIE

CHIEF MARKET STRATEGIST

yes

06/2022

Sep 20, 2022

Mar 27, 2024

NORRIS, SUSAN, CONWAY

CHIEF COMPLIANCE OFFICER

yes

05/2018

Feb 15, 2013

Mar 27, 2024

SPELLMAN, MARK, THOMAS

Member

yes

06/2022

Sep 20, 2022

Mar 27, 2024

SPELLMAN, MARK, THOMAS

CHIEF EXECUTIVE OFFICER

yes

06/2022

Sep 20, 2022

Mar 27, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

ALPINE WOODS CAPITAL INVESTORS, LLC

n/a

Asset manager

$181M

yes

n/a

ALPINE WOODS ADVISORS, LLC

n/a

yes

n/a

ALPINE WOODS MASTERS FUNDS GP LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 30, 2026

$670M

n/a

2024

Mar 31, 2025

$683M

n/a

2023

Mar 27, 2024

$719M

n/a

2022

Mar 31, 2023

$753M

n/a

2021

Mar 28, 2022

$1.0B

n/a

2020

Mar 31, 2021

$928M

n/a

2019

May 15, 2020

$864M

n/a

2018

Mar 29, 2019

$747M

n/a

2017

Mar 29, 2018

$850M

n/a

2016

Mar 31, 2017

$747M

n/a

2015

Mar 30, 2016

$730M

n/a

2014

Mar 31, 2015

$762M

n/a

2013

Mar 31, 2014

$720M

n/a

2012

Mar 27, 2013

$671M

n/a

2011

Mar 30, 2012

$585M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$670M

$683M

-2.0%

$753M

-3.9%