Woodstock Corporation
- Regulatory AUM
- $1.3B
- Discretionary
- $1.3B
- Clients
- 238
- Avg AUM / client
- $5.4M
- Accounts
- 577
- Employees
- 10
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Jun 29, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 90 | $46.3M | 3.58% |
| High net worth individuals | 140 | $1.2B | 90.6% |
| Pension and profit sharing plans | Fewer than 5 clients | $21.4M | 1.66% |
| Charitable organizations | 8 | $30.3M | 2.35% |
| Corporations and other businesses | Fewer than 5 clients | $23.1M | 1.79% |
People (14)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Phippen, Henry, Paine | Secretary | May 1985 (41y) | Less than 5% | |
| Darling, William, Henry | Chairman, Ceo | Mar 2003 (23y) | Less than 5% | |
| Benjamin, Edward, Alan | Director | Oct 2003 (23y) | Less than 5% | |
| Phippen, William, Lacroix | Trustee | Jun 2010 (16y) | GP / trustee / elected manager of The Suzanne Lacroix Phippen 1985 Appointive Property Trust (indirect) | |
| Simpson, Paul, Dunleigh | Elected Manager | Apr 2013 (13y) | Less than 5% | |
| Adrian Gregory Davies | President, Chief Investment Officer | CFA | Jul 2014 (12y) | Less than 5% |
| Leich, Christopher, M | Director | Mar 2019 (7y) | Less than 5% | |
| Levesque, David, Martin | Svp, Administration, Treasurer, Chief Compliance Officer | Jun 2021 (5y) | Less than 5% | |
| Thomas Charles Stakem | Registered representative | CFA | Nov 2014 (12y) | |
| Robert B. Sanders | Registered representative | CFA | Jan 2018 (9y) | |
| Lisa Marie Supple | Registered representative | Dec 2018 (8y) | ||
| Benjamin Gardner Dawson | Registered representative | Dec 2021 (5y) | ||
| David Michael Layden | Registered representative | Dec 2021 (5y) | ||
| James H. Garrett | Registered representative | CFA | Mar 2025 (1y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Sagamore Operations & Management Company Llc | Stockholder | Dec 2016 | A | 75% or more |
| The Susanne Lacroix Phippen 1985 Appointive Property Trust | Member | Dec 2016 | B | ≈ 18.75% – 50% via Sagamore Operations & Management Company Llc |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- The Susanne Lacroix Phippen 1985 Appointive Property Trust: 25% – 50% of Sagamore Operations & Management Company 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) | 06/29/2026 | 1.2 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: THE DIVISION ALLEGED THAT A WOODSTOCK CORPORATION ("WOODSTOCK") EMPLOYEE PROVIDED INVESTMENT ADVISORY SERVICES TO CLIENTS IN MASSACHUSETTS BETWEEN DECEMBER 1, 2020 AND DECEMBER 16, 2021 WITHOUT BEING PROPERLY REGISTERED AS AN INVESTMENT ADVISER REPRESENTATIVE ("IAR") BECAUSE HIS APPLICATION FOR REGISTRATION WAS INCOMPLETE (E.G., MISSING A WET SIGNATURE). Status: Final Sanction Detail: ADMINISTRATIVE FINE OF $100,000 AND UNDERTAKING FOR WOODSTOCK TO OFFER TO RETURN TO CLIENTS FEES BILLED DURING THE PERIOD IN WHICH THE PORTFOLIO MANAGER WAS UNREGISTERED AND SEEK CLIENT PERMISSION TO BILL YET-TO-BE-BILLED FEES DURING THE SAME PERIOD. Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACT AND CONCLUSIONS OF LAW SET FORTH THEREIN, ON DECEMBER 15, 2021 WOODSTOCK SUBMITTED AN OFFER OF SETTLEMENT (THE "OFFER") TO THE DIVISION. THE DIVISION ACCEPTED THE OFFER AND ON DECEMBER 16, 2021 THE DIVISION ENTERED AN ORDER CONSISTENT WITH THE LANGUAGE OF THE OFFER (THE "ORDER"). PURSUANT TO THE TERMS OF THE ORDER, WOODSTOCK PAID THE DIVISION THE ADMINISTRATIVE FINE ON DECEMBER 21, 2021. WOODSTOCK OFFERED A REFUND AND OR TO NOT COLLECT FEES TO RELEVANT CLIENTS AND 6 OF 68 CLIENTS SOUGHT A REFUND AND/OR RETURN OF FEES.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Performance-based fees
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- Fidelity Brokerage Services $1.2B (90% of AUM) Jun 2026
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: Jun 29, 2026.
View current Form ADV (SEC/IAPD) ↗