Saperston Legacy Advisors, Inc.
- Regulatory AUM
- $181M
- Discretionary
- $134M
- Clients
- 436
- Avg AUM / client
- $415K
- Accounts
- 436
- Employees
- 5
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 09, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 295 | $35.1M | 19.4% |
| High net worth individuals | 134 | $143M | 79.1% |
| Pension and profit sharing plans | 1 | $283K | 0.16% |
| Corporations and other businesses | 6 | $2.4M | 1.35% |
People (4)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Kristina Lynn Saperston | President/Secretary | Jan 2017 (10y) | Less than 5% | |
| Willard Basch Saperston | Registered representative | Aug 2021 (5y) | ||
| James Gordon Taylor | Registered representative | Jun 2022 (4y) | ||
| David Mark Braunstein | Registered representative | Nov 2025 (1y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Hillview Iii, Llc | Shareholder | Mar 2021 | A | 75% or more |
| Karen Saperston Trustee For Daniel Saperston Irrevocable Trust | Member | Mar 2021 | B | ≈ 18.75% – 50% via Hillview Iii, Llc |
| Karen Saperston Trustee For Kristina Saperston Irrevocable Trust | Member | Mar 2021 | B | ≈ 18.75% – 50% via Hillview Iii, Llc |
| Karen Saperston Trustee For Willard H.J. Saperston Irrevocable Trust | Member | Mar 2021 | B | ≈ 18.75% – 50% via Hillview Iii, Llc |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Karen Saperston Trustee For Daniel Saperston Irrevocable Trust: 25% – 50% of Hillview Iii, Llc × 75% – 100% direct ≈ 18.75% – 50% of the firm
- Karen Saperston Trustee For Kristina Saperston Irrevocable Trust: 25% – 50% of Hillview Iii, Llc × 75% – 100% direct ≈ 18.75% – 50% of the firm
- Karen Saperston Trustee For Willard H.J. Saperston Irrevocable Trust: 25% – 50% of Hillview Iii, Llc × 75% – 100% direct ≈ 18.75% – 50% of the firm
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) | 03/09/2026 | 1.18 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
- • Hourly charges
Services
- • Portfolio management for individuals/small businesses
- • Other services
Custody
Reported custodians
- Charles Schwab & Co. $174M (96% of AUM) Mar 2026
- Manufacturers And Traders Trust Company $42.0M (74% of AUM) Jan 2026
- Guggenheim Distributors, Llc $5.0M (65% of AUM) Oct 2018
- BNY Mellon $2.4M (32% of AUM) Oct 2018
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: Mar 09, 2026.
View current Form ADV (SEC/IAPD) ↗