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RIA / WealthRegistered advisermixed wealth managerSEC registeredRAUM 100m 1b

SAWYER FALDUTO ASSET MANAGEMENT, LLC

SFAM, LLC, CRD 145026

ELMHURST, IL

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:a1a19256-d435-dca2-6434-5e69ed101ba7

Data as of Mar 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:28 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 3
On other graphs: 0
Observed: Mar 19, 2012 to Mar 27, 2026
22 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=0.21 fund_share=0.0 institutional_share=0.78 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $897MItem 5.F on the latest filing (2026-03-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $897M
Private client RAUM: $187MderivedItem 5.D individuals plus high net worth individuals
Private client share: 21%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor: $224Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 6
Advisory employees: 4
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 961
Individual clients: 203
High net worth clients: 50
Custody, client assets: $8.6M
SEC number: 801-68317
CIK: 1713286
CRD: 145026
Filings on the tape: 22
First filed: Mar 19, 2012
Latest filed: Mar 27, 2026
Organised: Limited Liability Company, IL
Website: sawyerfalduto.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
THOMAS SAMUEL SAWYER	n/a	ELMHURST, IL	16	19	n/a	no
JOHN JOSEPH FALDUTO	n/a	ELMHURST, IL	16	19	n/a	no
JACOB ROTHWELL WALTERS	Chartered Financial Analyst	ELMHURST, IL	10	10	n/a	no
Edward James Lavin	Chartered Financial Analyst	ELMHURST, IL	8	30	n/a	no

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
FALDUTO, JOHN, JOSEPH	Member	D	yes	08/2007	Mar 19, 2012	Mar 29, 2024
SAWYER, THOMAS, SAMUEL	MEMBER/CHIEF COMPLIANCE OFFICER	D	yes	08/2007	Mar 19, 2012	Mar 29, 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 27, 2026	$897M	$897M	6	4	0	n/a	n/a
2024	Mar 27, 2025	$732M	$732M	6	4	0	n/a	n/a
2023	Mar 27, 2024	$952M	$952M	6	4	0	n/a	n/a
2022	Mar 29, 2023	$786M	$786M	7	5	0	n/a	n/a
2021	Mar 29, 2022	$4.1B	$4.1B	7	5	0	n/a	n/a
2020	Mar 29, 2021	$4.2B	$4.2B	7	5	0	n/a	n/a
2019	Mar 27, 2020	$3.5B	$3.5B	7	5	0	n/a	n/a
2018	Mar 28, 2019	$2.7B	$2.7B	5	5	0	n/a	n/a
2017	Mar 24, 2018	$2.6B	$2.6B	4	4	0	n/a	n/a
2016	Mar 13, 2017	$2.0B	$2.0B	4	4	n/a	n/a	n/a
2015	Mar 19, 2016	$1.7B	$1.7B	3	3	n/a	n/a	n/a
2014	Feb 12, 2015	$1.4B	$1.4B	3	3	n/a	n/a	n/a
2013	Mar 1, 2014	$1.1B	$1.1B	3	3	n/a	n/a	n/a
2012	Mar 25, 2013	$892M	$892M	3	3	n/a	n/a	n/a
2011	Mar 19, 2012	$720M	$720M	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	$897M	$732M	22.6%	$786M	4.5%	6	6	0	0

Relationships

Registered with (4)

← Edward James LavinAdvisorregistration: current employment
Sep 12, 2018 to presentfactForm ADV
← JACOB ROTHWELL WALTERSAdvisorregistration: current employment
Sep 3, 2016 to presentfactForm ADV
← JOHN JOSEPH FALDUTOAdvisorregistration: current employment
Mar 9, 2010 to presentfactForm ADV
← THOMAS SAMUEL SAWYERAdvisorregistration: current employment
Jan 18, 2010 to presentfactForm ADV

Controls (2)

← SAWYER, THOMAS, SAMUELOwnerMEMBER/CHIEF COMPLIANCE OFFICER, ownership code D, individual
Mar 19, 2012 to Mar 29, 2024factForm ADV
← FALDUTO, JOHN, JOSEPHOwnerMEMBER, ownership code D, individual
Mar 19, 2012 to Mar 29, 2024factForm ADV

Dated events

Occurred
Mar 29, 2023
Regulatory AUM changed
Sawyer Falduto Asset Management, Llc reported RAUM $786.5M, down 81% from $4.1B (2022-11-03 to 2023-03-29)
Form ADVobserved 5 days ago
$-3.3B
Occurred
Mar 27, 2020
Regulatory AUM changed
Sawyer Falduto Asset Management, Llc reported RAUM $3.5B, up 31% from $2.7B (2019-03-28 to 2020-03-27)
Form ADVobserved 5 days ago
$831M
Occurred
Mar 24, 2018
Regulatory AUM changed
Sawyer Falduto Asset Management, Llc reported RAUM $2.6B, up 30% from $2.0B (2017-09-01 to 2018-03-24)
Form ADVobserved 5 days ago
$590M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a1a19256-d435-dca2-6434-5e69ed101ba7
First observed: Mar 19, 2012
Last observed: Mar 27, 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.

SAWYER FALDUTO ASSET MANAGEMENT, LLC

SFAM, LLC, CRD 145026

ELMHURST, IL

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:a1a19256-d435-dca2-6434-5e69ed101ba7

Data as of Mar 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:28 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

THOMAS SAMUEL SAWYER

n/a

ELMHURST, IL

n/a

JOHN JOSEPH FALDUTO

n/a

ELMHURST, IL

n/a

JACOB ROTHWELL WALTERS

Chartered Financial Analyst

ELMHURST, IL

n/a

Edward James Lavin

Chartered Financial Analyst

ELMHURST, IL

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

FALDUTO, JOHN, JOSEPH

Member

yes

08/2007

Mar 19, 2012

Mar 29, 2024

SAWYER, THOMAS, SAMUEL

MEMBER/CHIEF COMPLIANCE OFFICER

yes

08/2007

Mar 19, 2012

Mar 29, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 27, 2026

$897M

n/a

2024

Mar 27, 2025

$732M

n/a

2023

Mar 27, 2024

$952M

n/a

2022

Mar 29, 2023

$786M

n/a

2021

Mar 29, 2022

$4.1B

n/a

2020

Mar 29, 2021

$4.2B

n/a

2019

Mar 27, 2020

$3.5B

n/a

2018

Mar 28, 2019

$2.7B

n/a

2017

Mar 24, 2018

$2.6B

n/a

2016

Mar 13, 2017

$2.0B

n/a

2015

Mar 19, 2016

$1.7B

n/a

2014

Feb 12, 2015

$1.4B

n/a

2013

Mar 1, 2014

$1.1B

n/a

2012

Mar 25, 2013

$892M

n/a

2011

Mar 19, 2012

$720M

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

$897M

$732M

22.6%

$786M

4.5%