SourcingSourcing

SACKS & ASSOCIATES, LLC

A65
CRD 174909·SEC 801-80934·WARREN, NJ
AUM
$212.8M
$100M-$500M
Est. Revenue
$2.1M
@ 1% on AUM
Est. EBITDA
$638K
@ 30% margin
Est. Deal Value
$5.1M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
SACKS & ASSOCIATES, LLC
CRD
174909
SEC file #
801-80934
EIN
—
DBA names
—

Economics

AUM
$212.8M
AUM band
$100M-$500M
AUM trajectory
'20'26
$135.0M → $212.8M▲ +58%
Client mix
Individuals Other77
Individuals High Net Worth66
Pension Profit Sharing Plans1

Operations

Employees (total)
4
Advisory staff (per ADV)
3
Advisory staff (5-yr trend)
'20'26
3 advisors → 3 advisors▬ 0%
Primary office
WARREN NJ
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — businesses
Fee basis
% of AUM

Filings

Latest ADV filing
03/20/2026
ADV-W filed at
—
Website
facebook.com/sacksassociates(social)

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
SACKS, NEIL, JAY
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
1
Control Persons
SACKS, NEIL, JAY
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
social_url_excluded:facebook.com

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Local market & wealth

Rank targets by how wealthy the local market is

Soi High Wealth Score
0.5522
Soi Zip Pct 200k Plus
0.3589
Soi Zip Returns 200k Plus
2,990
Soi Zip Total AGI
2,507,690
Fdic Zip Total Deposits
27,487,359,000
Fdic Zip Branch Count
217
Fdic Zip Top Banks
Wells Fargo Bank, National Association
TD Bank, National Association

Compliance & brand

Firm Registration Status
active

All other collected signals (19)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
3
Bc Firm IAR Count
3
Custodian Candidates
Full
Charles Schwab9
E*trade4
Fdic Zip Branches Raw
United National BankWarren Township, NJ
United National BankWarren Township, NJ
Fdic Zip HHI
1092.16
Fdic Zip Top Bank Share Pct
17.11
Fdic Zip Year
2025
Firm Has Custody
No
Mailing Office Differs
No
Soi Year
2022
Soi Zip Distribution
Stub 1
AGI15,217
Returns1,570
Stub 2
AGI30,231
Returns830
Stub 3
AGI47,379
Returns760
Soi Zip Total Business Income
87,263
Soi Zip Total Cap Gains
306,407
Soi Zip Total Dividends
103,861
Soi Zip Total Returns
8,330
Top Owner CRD
864757
Trust Company Affiliate
No

People (3)

3
SACKS, NEIL, JAY
IAR · Direct Owner · 87.5%
864757
EDGAR GIOVANNI LARA
IAR
3241195
JAIME DAE YOUNG
IAR
4458645