DOUGLAS C. LANE & ASSOCIATES
Latest filing: Apr 08, 2025 (73 days ago)
AUM
$8,230,575,270
8% change vs. 1 year ago
-3% change vs. 3 years ago
31% change vs. 5 years ago
0% change vs. 10 years ago
Employee Count
37
-3% change vs. 1 year ago
9% change vs. 3 years ago
9% change vs. 5 years ago
0% change vs. 10 years ago
Main Office
NEW YORK, NY
ONE DAG HAMMARSKJOLD PLAZA, NEW YORK, NY, UNITED STATES, 10017
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $8.2 |
| Non-Discretionary | $0.0 |
| Total | $8.2 |
| Client | AUM |
|---|---|
| Retail | $7.3 |
| Pooled | $0.0 |
| Institutional | $1.0 |
| Total | $8.2 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 241 | $0.1 |
| Average Individual AUM | $551,038 | |
| HNW | 909 | $7.1 |
| Average HNW AUM | $7,837,281 | |
| Retail Total | 1,150 | $7.3 |
| Average Retail AUM | $6,310,338 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
SMA Custodians
| Custodian | Location | AUM |
|---|---|---|
| CHARLES SCHWAB & CO., INC. | SAN FRANCISCO-CA-USA | $3.6 |
| FIDELITY DISTRIBUTORS COMPANY LLC | SMITHFIELD-RI-USA | $3.2 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $8.2 |
| Retail SMA AUM | $7.3 |
| Institutional SMA AUM | $1.0 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 87% | $7.2 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 0% | $0.0 |
| Municipal | 0% | $0.0 |
| Sovereign | 0% | $0.0 |
| IG Credit | 3% | $0.2 |
| HY Credit | 2% | $0.2 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 0% | $0.0 |
| Other Pools | 0% | $0.0 |
| Cash | 8% | $0.7 |
| Other | 0% | $0.0 |
| Total | 100% | $8.2 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
Affiliates
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| FOCUS RISK SOLUTIONS, LLC | $0.0 | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Control Persons
Representatives
15 active representatives found
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| MARC MILIC | NEW YORK | NY | CERTIFIED FINANCIAL PLANNER | ||||||
| DOUGLAS LANE | NEW YORK | NY | S65|1992-04-02 | ||||||
| FRASIER ESTY | NEW YORK | NY | CERTIFIED FINANCIAL PLANNER | ||||||
| MICHAEL RAZEWSKI | NEW YORK | NY | S66|2003-12-10 | ||||||
| KAITLIN WEIDNER | NEW YORK | NY | CHARTERED FINANCIAL ANALYST | ||||||
| DANIEL MENESES | NEW YORK | NY | CHARTERED FINANCIAL ANALYST | ||||||
| SARAT SETHI | NEW YORK | NY | CHARTERED FINANCIAL ANALYST|CHARTERED INVESTMENT COUNSELOR | ||||||
| KELLEEN KIELY | NEW YORK | NY | CHARTERED FINANCIAL ANALYST | ||||||
| COLE HANSEN | NEW YORK | NY | S65|2015-11-05 | CERTIFIED FINANCIAL PLANNER|CHARTERED FINANCIAL ANALYST | |||||
| CHARLES BUSTIN | NEW YORK | NY | CHARTERED FINANCIAL ANALYST | ||||||
| JOHN SINI | NEW YORK | NY | |||||||
| EDWARD DEWEES | NEW YORK | NY | CHARTERED FINANCIAL ANALYST|CHARTERED INVESTMENT COUNSELOR | ||||||
| MATTHEW VETTO | NEW YORK | NY | S63|1997-09-22 | CHARTERED FINANCIAL ANALYST | |||||
| ROBERT LANE | NEW YORK | NY | S63|1979-11-07|S65|2021-02-03 | ||||||
| KEVIN WALDEN | NEW YORK | NY | CHARTERED FINANCIAL ANALYST | ||||||
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-05-02 | $8.2 | $0.0 | 0% | 37 | 0 | 0% |
| 2025-04-21 | $8.2 | $0.0 | 0% | 37 | 0 | 0% |
| 2024-04-02 | $7.6 | $0.6 | 8% | 38 | -1 | -3% |
| 2023-04-04 | $7.0 | $1.2 | 17% | 36 | 1 | 3% |
| 2022-04-01 | $8.5 | -$0.2 | -3% | 34 | 3 | 9% |
| 2021-04-05 | $6.9 | $1.4 | 20% | 33 | 4 | 12% |
| 2020-04-01 | $6.3 | $1.9 | 31% | 34 | 3 | 9% |
| 2019-04-01 | $4.9 | $3.3 | 68% | 34 | 3 | 9% |
| 2018-04-02 | $5.3 | $2.9 | 54% | 33 | 4 | 12% |
| 2017-04-01 | $4.5 | $3.7 | 82% | 33 | 4 | 12% |
| 2016-04-01 | $4.4 | $3.8 | 88% | 34 | 3 | 9% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| NY, AK-01/01/2016, AL-01/01/2016, AZ-01/01/2016, CA-01/01/2016, CO-01/01/2016, CT-01/01/2016, DC-01/01/2016, DE-01/01/2016, FL-01/08/2016, GA-01/01/2016, HI-01/01/2016, ID-01/01/2016, IL-01/19/2016, IN-01/01/2016, KS-03/24/2023, KY-01/01/2016, LA-01/01/2016, MA-01/01/2016, MD-01/01/2016, ME-01/01/2016, MI-01/01/2016, MN-01/01/2016, MO-01/01/2016, MT-01/01/2016, NC-01/01/2016, NE-03/21/2024, NH-01/01/2016, NJ-02/05/2016, NM-01/01/2016, NV-01/01/2016, NY-01/01/2016, OH-01/01/2016, OK-01/01/2016, OR-01/01/2016, PA-01/01/2016, RI-01/01/2016, SC-01/01/2016, SD-03/24/2023, TN-01/01/2016, TX-01/01/2016, UT-01/01/2016, VA-01/01/2016, VI-03/27/2017, VT-01/01/2016, WA-01/01/2016, WI-01/01/2016, WV-01/01/2016, WY-03/30/2022 |
| ADVISER ACTIVITIES |
|
FINANCIAL PLANNING PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (SMB) |
| OTHER ACTIVITIES |
ADVDB.CO • SOURCE: SEC FORM ADV