Caporaso Albert A & Associates Inc.
- Regulatory AUM
- $35.9M
- Discretionary
- $35.9M
- Clients
- —
- Avg AUM / client
- —
- Accounts
- 7
- Employees
- 1
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Feb 11, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | Fewer than 5 clients | $2.5M | 6.87% |
| High net worth individuals | Fewer than 5 clients | $15.4M | 42.9% |
| Charitable organizations | Fewer than 5 clients | $18.1M | 50.2% |
People (1)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Albert Arthur Caporaso | President/Secretary/Treasurer/Chief Compliance Officer | Jan 1990 (37y) | 75% or more |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 02/11/2025 | 1.01 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for individuals/small businesses
Custody
Reported custodians
- Morgan Stanley $18.1M (50% of AUM) Feb 2025
- Charles Schwab & Co. $17.9M (50% of AUM) Feb 2025
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Feb 11, 2025.
View current Form ADV (SEC/IAPD) ↗