CARUSO MCLEAN & CO., INC.

CRD 126084File 801-64498

APPROVED

Retail clients

Filing as of Mar 18, 2026

Feed vintage Aug 17, 2026

Regulatory AUM

$281.8M

Below cohort median (national)

Discretionary AUM

$22.3M

Non-discretionary $259.5M

Clients

125

182 accounts

Employees

Below cohort median in NY

Identity & registration

ADV Item 1

Organization form: Corporation
Firm type: Registered
SEC region: NYRO
Registration date: Jul 11, 2005
Principal office: 130 LOMOND COURT, UTICA, NY, 13502
Phone: 315-724-5105
Website: HTTP://WWW.CARUSOMCLEAN.COM

Assets & accounts

ADV Item 5F

Total regulatory AUM: $281.8M
Discretionary AUM: $22.3M
Non-discretionary AUM: $259.5M
Discretionary accounts: 12
Non-discretionary accounts: 170
Total accounts: 182
AUM per client: $2.3M

Clients by type

ADV Item 5D

Client type	Clients	AUM
Other	5	$42.2M
Charitable organizations	3	$34.7M
High net worth individuals	76	$142.4M
Pension and profit sharing plans	18	$58.5M
Individuals (other than high net worth individuals)	23	$3.9M

Compensation & activities

ADV Items 5E, 5G

Compensation

Fixed fees
A percentage of assets under your management

Advisory activities

Financial planning services
Portfolio management for other
Portfolio management for businesses
Portfolio management for individuals and/or small businesses

Custody

ADV Item 9

Firm Custody Cash: No
Firm Custody Assets: No
Firm Custody Clients: No
Firm Custody Securities: No
Related Person Custody Cash: No
Related Person Custody Assets: No
Related Person Custody Clients: No
Related Person Custody Securities: No

Disclosure events

ADV Item 11

This firm answered no to every Item 11 disclosure question in this filing.

Filed changes

Date	Field	From	To
Aug 12, 2026	Registration	—	APPROVED

Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.