Caruso Mclean & Co., Inc. is an SEC registered investment adviser organized as a corporation with a primary office location in Utica, NY. Its latest Form ADV filing, dated March 18, 2026, reports $282M in regulatory assets under management, 5 employees, and 182 accounts.
Top client segmentHNWI represent 60.8% of total clients.
Top client categories% of clientsClients
1
HNWI
60.8%
76
2
Individuals
18.4%
23
3
Pension Plans
14.4%
18
4
Corporations
4.0%
5
5
Charitable
2.4%
3
Regulatory Assets Under Management Breakdown
Total regulatory assets under management$282Mas of March 18, 2026
Discretionary7.9%
$22M
8% of total RAUM7.9%
Non-discretionary92.1%
$259M
92% of total RAUM92.1%
Regulatory assets under management are split between discretionary and non-discretionary assets.
Assets under management Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Latest AUM$282M
Total Accounts182
10Y AUM Change+$117M (+70.7%)
Employee Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total Employees5
Clients per Employee25:1
10Y Employee Change0 (0.0%)
* Metrics are based on the latest available data, including Form ADV filings, brochures, and relationship summaries pulled from the SEC IAPD, and may be subject to change. Learn what is included in the Rialytix data. Please refer to the firm's official disclosures for the most accurate information using their CRD number. This is not investment advice.