Saxon Woods Advisors Llc
- Regulatory AUM
- $670M
- Discretionary
- $670M
- Clients
- 158
- Avg AUM / client
- $4.2M
- Accounts
- 161
- Employees
- 12
AUM over time
Annual snapshots from Form ADV filings · as of Mar 30, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 51 | $12.9M | 1.93% |
| High net worth individuals | 90 | $203M | 30.4% |
| Pension and profit sharing plans | Fewer than 5 clients | $9.0M | 1.35% |
| Charitable organizations | 17 | $444M | 66.4% |
| Corporations and other businesses | Fewer than 5 clients | $0 | — |
People (5)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Baez, Arleen, Marie | Chief Operations Officer | Jun 2008 (18y) | 25% – 50% | |
| Norris, Susan, Conway | Chief Compliance Officer | May 2018 (8y) | Less than 5% | |
| Hennessey, Brian, Scott | Chief Investment Officer | Jun 2022 (4y) | 10% – 25% | |
| Hunt, Sarah, Marie | Chief Market Strategist | Jun 2022 (4y) | 10% – 25% | |
| Spellman, Mark, Thomas | Chief Executive Officer | Jun 2022 (4y) | 25% – 50% |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Alpine Saxon Woods, Llc | Managing Member | Jun 2022 | A | 75% or more |
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) | 03/30/2026 | 1.11 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
- RBC $552M (82% of AUM) Mar 2026
- Jefferies Llc $117M (17% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have 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 30, 2026.
View current Form ADV (SEC/IAPD) ↗