Saxony Capital Management, LLC

Registered investment adviser · St. Louis, MO · CRD #122692

Form ADV data as of 2026-09-01

Regulatory assets

$367.9 million

Total accounts

1,488

Employees

Disclosure events

Firm details

Website: https://www.saxony advisors- linked in
Telephone: 314-963-9336
SEC file number: 801-68385
Most recent Form ADV filing: 2026-08-03
SEC record: View this firm on the SEC's IAPD site

Disciplinary disclosures

This firm reports 3 disclosure questions answered Yes, covering 3 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.

SEC or CFTC found a violation of its regulations or statutes
SEC or CFTC entered an order in connection with investment-related activity
SEC or CFTC imposed a civil money penalty or a cease-and-desist order

Assets and accounts

Provides continuous and regular supervisory or management services	Yes
Discretionary regulatory assets under management	$351.4 million
Non-discretionary regulatory assets under management	$16.4 million
Total regulatory assets under management	$367.9 million
Discretionary accounts	1,445
Non-discretionary accounts	43
Total accounts	1,488
Regulatory assets under management attributable to non-U.S. persons	$1.9 million

People

Total employees (excluding clerical)	6
Employees performing investment advisory functions (including research)	0
Employees who are registered representatives of a broker-dealer	3
Employees registered as investment adviser representatives with a state	3
Employees registered as IARs for another investment adviser	0
Employees who are licensed insurance agents	0
Firms or persons who solicit advisory clients on the firm's behalf	0

Custody

Has custody of client cash or bank accounts	No
Has custody of client securities	No
A related person has custody of client cash or bank accounts	No
A related person has custody of client securities	No
The firm acts as a qualified custodian	No
A related person acts as a qualified custodian	No

How the firm is compensated

A percentage of assets under managementHourly chargesFixed fees (other than subscription fees)Other

Advisory services offered

Financial planning servicesPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)

Affiliated related persons

Broker-dealer, municipal securities dealer, or government securities broker or dealerOther investment adviser (including financial planners)Insurance company or agency

Reported conflicts of interest

Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:

Buys or sells for itself securities it also recommends to clients
Compensates a non-employee for client referrals
Receives compensation from others for client referrals

Client types

Type of client	Clients	Assets
Individuals (other than high net worth individuals)	659	$168.1 million
High net worth individuals	97	$197.5 million
Charitable organizations	1	$110,499
Corporations or other businesses not listed above	5	$2.1 million