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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

CARUSO MCLEAN & CO., INC.

CRD 126084

UTICA, 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:773ae7f3-bbea-ef8c-c429-0a13578b2d5a

Data as of Mar 18, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:54 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Mar 23, 2012 to Mar 18, 2026
19 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: independent wealth managerderivedprivate_client_share=0.52 fund_share=0.0 institutional_share=0.33 related_bd=false related_bank=false bd_reps=5.0
Regulatory AUM: $282MItem 5.F on the latest filing (2026-03-18); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $22.3M
Private client RAUM: $146MderivedItem 5.D individuals plus high net worth individuals
Private client share: 52%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor: $70.4Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 5
Advisory employees: 4
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 182
Individual clients: 23
High net worth clients: 76
SEC number: 801-64498
CRD: 126084
Filings on the tape: 19
First filed: Mar 23, 2012
Latest filed: Mar 18, 2026
Organised: Corporation, NY
Website: carusomclean.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
STEPHEN LOUIS CARUSO	n/a	UTICA, NY	5	30	n/a	yes
GREGORY BRUCE MCLEAN	n/a	UTICA, NY	5	45	n/a	yes
KEVIN W CONWAY	n/a	UTICA, NY	5	12	n/a	yes
DAVID B HAMLIN	Certified Financial Planner	UTICA, NY	5	11	n/a	yes

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
MCLEAN, GREGORY, BRUCE	CEO, PRESIDENT, CFO	E	yes	03/1988	Mar 23, 2012	Mar 27, 2024
CARUSO, STEPHEN, LOUIS	CHIEF COMPLIANCE OFFICER	Na	no	01/2011	Mar 23, 2012	Mar 27, 2024

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 18, 2026	$282M	$22.3M	5	4	0	n/a	n/a
2024	Mar 28, 2025	$249M	$20.3M	5	4	0	n/a	n/a
2023	Mar 27, 2024	$233M	$40.5M	6	5	0	n/a	n/a
2022	Mar 22, 2023	$197M	$36.6M	6	6	0	n/a	n/a
2021	Mar 30, 2022	$227M	$26.4M	5	5	0	n/a	n/a
2020	Mar 25, 2021	$208M	$38.4M	5	5	0	n/a	n/a
2019	Apr 1, 2020	$194M	$58.3M	5	5	0	n/a	n/a
2018	Mar 14, 2019	$155M	$101M	5	5	0	n/a	n/a
2017	May 31, 2018	$175M	$0	5	5	0	n/a	n/a
2016	Mar 31, 2017	$165M	$49.5M	5	5	n/a	n/a	n/a
2015	Mar 31, 2016	$177M	$35.4M	3	3	n/a	n/a	n/a
2014	Mar 25, 2015	$176M	$410,000	3	3	n/a	n/a	n/a
2013	Mar 31, 2014	$204M	$20.4M	3	3	n/a	n/a	n/a
2012	Mar 28, 2013	$157M	$0	3	3	n/a	n/a	n/a
2011	Mar 23, 2012	$132M	$0	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

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	$282M	$249M	13.2%	$197M	12.7%	5	5	0	0

Relationships

Registered with (4)

← KEVIN W CONWAYAdvisorregistration: current employment
Jul 19, 2021 to presentfactForm ADV
← DAVID B HAMLINAdvisorregistration: current employment
Jul 19, 2021 to presentfactForm ADV
← GREGORY BRUCE MCLEANAdvisorregistration: current employment
Jul 15, 2021 to presentfactForm ADV
← STEPHEN LOUIS CARUSOAdvisorregistration: current employment
Jul 2, 2021 to presentfactForm ADV

Owns (1)

← CARUSO, STEPHEN, LOUISOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 23, 2012 to Mar 27, 2024factForm ADV

Controls (1)

← MCLEAN, GREGORY, BRUCEOwnerCEO, PRESIDENT, CFO, ownership code E, individual
Mar 23, 2012 to Mar 27, 2024factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:773ae7f3-bbea-ef8c-c429-0a13578b2d5a
First observed: Mar 23, 2012
Last observed: Mar 18, 2026 6 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.

CARUSO MCLEAN & CO., INC.

CRD 126084

UTICA, 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:773ae7f3-bbea-ef8c-c429-0a13578b2d5a

Data as of Mar 18, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:54 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

STEPHEN LOUIS CARUSO

n/a

UTICA, NY

n/a

yes

GREGORY BRUCE MCLEAN

n/a

UTICA, NY

n/a

yes

KEVIN W CONWAY

n/a

UTICA, NY

n/a

yes

DAVID B HAMLIN

Certified Financial Planner

UTICA, NY

n/a

yes

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

MCLEAN, GREGORY, BRUCE

CEO, PRESIDENT, CFO

yes

03/1988

Mar 23, 2012

Mar 27, 2024

CARUSO, STEPHEN, LOUIS

CHIEF COMPLIANCE OFFICER

01/2011

Mar 23, 2012

Mar 27, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 18, 2026

$282M

$22.3M

n/a

2024

Mar 28, 2025

$249M

$20.3M

n/a

2023

Mar 27, 2024

$233M

$40.5M

n/a

2022

Mar 22, 2023

$197M

$36.6M

n/a

2021

Mar 30, 2022

$227M

$26.4M

n/a

2020

Mar 25, 2021

$208M

$38.4M

n/a

2019

Apr 1, 2020

$194M

$58.3M

n/a

2018

Mar 14, 2019

$155M

$101M

n/a

2017

May 31, 2018

$175M

n/a

2016

Mar 31, 2017

$165M

$49.5M

n/a

2015

Mar 31, 2016

$177M

$35.4M

n/a

2014

Mar 25, 2015

$176M

$410,000

n/a

2013

Mar 31, 2014

$204M

$20.4M

n/a

2012

Mar 28, 2013

$157M

n/a

2011

Mar 23, 2012

$132M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$282M

$249M

13.2%

$197M

12.7%