CARUSO MCLEAN & CO., INC.

130 Lomond Court
Utica, New York 13502
Tel: 315-724-5105

About CARUSO MCLEAN & CO., INC.

CARUSO MCLEAN & CO, INC, formally registered with the SEC as CARUSO MCLEAN & CO, INC. The firm was established in 07/11/2005. They have over 1 offices throughout the country.

CARUSO MCLEAN & CO., INC. is a Utica, New York based Financial Planning firm with nearly $232,716,590 assets under management, offering retirement planning & investment advisory services to 196 clients. The firm is staffed with 6 experienced financial planners.

Firm Information

SEC Current Status	Approved
Firm CRD#	126084
SEC#	801-64498
Assets Managed by Firm	$232,716,590
No. of Clients	196
No. of Advisors	6

Fee Structure

A percentage of AUM
Fixed fees

Advisory Services Provided

Financial planning services
Portfolio management for individuals and/or small businesses
Portfolio management for businesses or institutional clients
Pesnsion consulting services

Firm Client Information

	No. of Clients	AUM
Firm Total	196	$232,716,590
Individuals (other than high net worth individuals)	33	$6,863,987
High net worth individuals	63	$109,641,022
Pension and profit sharing plans	20	$44,548,651
Charitable organizations	13	$57,665,138
Corporations or other businesses	2	$13,997,792

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J.P. MORGAN INVESTMENT MANAGEMENT INC. 383 Madison Avenue New York, NY, 10179-0001	$2,549,092,782,514	92898	3167
GOLDMAN SACHS ASSET MANAGEMENT, L.P. 200 West Street New York, NY, 10282	$1,661,286,615,154	189311	1305
MORGAN STANLEY 2000 Westchester Avenue Purchase, NY, 10577-2530	$1,402,425,838,334	2405783	29300
BLACKROCK FINANCIAL MANAGEMENT, INC 50 Hudson Yards New York, NY, 10001	$1,288,497,806,439	2184	6407
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED One Bryant Park New York, NY, 10036	$1,271,593,679,276	2911578	34934

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