Douglas Lane & Associates, Llc
SEC-registered
Wealth Manager · Mid-sized ($1B–$10B)
CRD 282563
· SEC file 801-107161
· New York, NY
· twitter.com
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ADV data as of Mar 30, 2026
- Regulatory AUM
- $8.4B
- Discretionary
- $8.4B
- Clients
- 1,144
- Avg AUM / client
- $7.4M
- Accounts
- 5,556
- Employees
- 37
AUM over time
$4.4B
$8.5B
Dec 2015
Dec 2025
Annual snapshots from Form ADV filings · as of Mar 30, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 210 | $101M | 1.19% |
| High net worth individuals | 874 | $7.6B | 90.4% |
| Pension and profit sharing plans | 27 | $313M | 3.7% |
| Charitable organizations | 14 | $201M | 2.38% |
| Corporations and other businesses | 19 | $197M | 2.34% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Tf Cornerstone Inc. 401(k) Plan Tf Cornerstone Inc. | 2024 | |
| Mayer Brown Llp Usa Savings Plan Mayer Brown Llp | 2024 | |
| Schwabplan Retirement Savings And Investment Plan The Charles Schwab Corporation | 2024 |
People (18)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Edward Dakin Dewees | Managing Partner | CFA Chartered Investment Counselor | Jan 2016 (11y) | Less than 5% |
| Sarat Sethi | Managing Partner | CFA Chartered Investment Counselor | Jan 2016 (11y) | Less than 5% |
| Solinga Stasi, Nicole, Anne | Chief Compliance Officer | Jan 2016 (11y) | Less than 5% | |
| John Ralph Sini | Registered representative | Feb 2016 (10y) | ||
| Douglas Calder Lane | Registered representative | Mar 2016 (10y) | ||
| Michael S Razewski | Registered representative | Nov 2021 (5y) | ||
| Charles Francis Bustin | Registered representative | CFA | Nov 2021 (5y) | |
| Daniel Meneses | Registered representative | CFA | Nov 2021 (5y) | |
| Frasier Esty | Registered representative | CFP | Nov 2021 (5y) | |
| Kelleen Kiely | Registered representative | CFA | Nov 2021 (5y) | |
| Marc Vance Milic | Registered representative | CFP | Nov 2021 (5y) | |
| Matthew Lee Vetto | Registered representative | CFA | Nov 2021 (5y) | |
| Cole Mallen Hansen | Registered representative | CFP CFA | Aug 2022 (4y) | |
| Kaitlin R Weidner | Registered representative | CFA | Aug 2023 (3y) | |
| Jeremy Wittenberg | Registered representative | CFP | Jun 2024 (2y) | |
| Michael S Jensen | Registered representative | CFP Chartered Financial Consultant | Dec 2024 (2y) | |
| Robert David Lane | Registered representative | Oct 2025 (1y) | ||
| Kevin Edward Walden | Registered representative | CFA | Oct 2025 (1y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Focus Operating, Llc | Member (Manager) | Jan 2016 | A | 75% or more |
| Focus Financial Partners, Llc | Member | Jan 2007 | B | ≈ 56.25% – 100% via Focus Operating, Llc |
| Focus Financial Partners Inc. | Member | Jul 2018 | B | ≈ 42.19% – 100% via Focus Financial Partners, Llc |
| Ferdinand Ffp Acquisition, Llc | Shareholder, Class A Common Stock | Aug 2023 | B | ≈ 42.19% – 100% via Focus Financial Partners, Llc |
| Ferdinand Ffp Ultimate Holdings, Lp | Shareholder, Class B Common Stock | Aug 2023 | B | ≈ 31.64% – 100% via Focus Financial Partners Inc. |
| Ferdinand Ffp Intermediate Holdings, Llc | Member | Aug 2023 | B | ≈ 31.64% – 100% via Ferdinand Ffp Acquisition, Llc |
| Ferdinand Ffp Parent, Inc. | Member | Aug 2023 | B | ≈ 23.73% – 100% via Ferdinand Ffp Intermediate Holdings, Llc |
| Cd&R Ferdinand Holdings, L.P | Partner | Aug 2023 | B | ≈ 15.82% – 75% via Ferdinand Ffp Ultimate Holdings, Lp |
| Clayton Dubilier & Rice Fund Xii, L.P. | Partner | Aug 2023 | B | ≈ 7.91% – 56.25% via Cd&R Ferdinand Holdings, L.P |
| Cd&R Ferdinand Co Investor, L.P. | Partner | Aug 2023 | B | ≈ 3.96% – 37.5% via Cd&R Ferdinand Holdings, L.P |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Focus Financial Partners, Llc: 75% – 100% of Focus Operating, Llc × 75% – 100% direct ≈ 56.25% – 100% of the firm
- Focus Financial Partners Inc.: 75% – 100% of Focus Financial Partners, Llc × 75% – 100% of Focus Operating, Llc × 75% – 100% direct ≈ 42.19% – 100% of the firm
- Ferdinand Ffp Acquisition, Llc: 75% – 100% of Focus Financial Partners, Llc × 75% – 100% of Focus Operating, Llc × 75% – 100% direct ≈ 42.19% – 100% of the firm
- Ferdinand Ffp Ultimate Holdings, Lp: 75% – 100% of Focus Financial Partners Inc. × 75% – 100% of Focus Financial Partners, Llc × 75% – 100% of Focus Operating, Llc × 75% – 100% direct ≈ 31.64% – 100% of the firm
- Ferdinand Ffp Intermediate Holdings, Llc: 75% – 100% of Ferdinand Ffp Acquisition, Llc × 75% – 100% of Focus Financial Partners, Llc × 75% – 100% of Focus Operating, Llc × 75% – 100% direct ≈ 31.64% – 100% of the firm
- Ferdinand Ffp Parent, Inc.: 75% – 100% of Ferdinand Ffp Intermediate Holdings, Llc × 75% – 100% of Ferdinand Ffp Acquisition, Llc × 75% – 100% of Focus Financial Partners, Llc × 75% – 100% of Focus Operating, Llc × 75% – 100% direct ≈ 23.73% – 100% of the firm
- Cd&R Ferdinand Holdings, L.P: 50% – 75% of Ferdinand Ffp Ultimate Holdings, Lp × 75% – 100% of Focus Financial Partners Inc. × 75% – 100% of Focus Financial Partners, Llc × 75% – 100% of Focus Operating, Llc × 75% – 100% direct ≈ 15.82% – 75% of the firm
- Clayton Dubilier & Rice Fund Xii, L.P.: 50% – 75% of Cd&R Ferdinand Holdings, L.P × 50% – 75% of Ferdinand Ffp Ultimate Holdings, Lp × 75% – 100% of Focus Financial Partners Inc. × 75% – 100% of Focus Financial Partners, Llc × 75% – 100% of Focus Operating, Llc × 75% – 100% direct ≈ 7.91% – 56.25% of the firm
- Cd&R Ferdinand Co Investor, L.P.: 25% – 50% of Cd&R Ferdinand Holdings, L.P × 50% – 75% of Ferdinand Ffp Ultimate Holdings, Lp × 75% – 100% of Focus Financial Partners Inc. × 75% – 100% of Focus Financial Partners, Llc × 75% – 100% of Focus Operating, Llc × 75% – 100% direct ≈ 3.96% – 37.5% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (3)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Tf Cornerstone Inc. 401(k) Plan | Tf Cornerstone Inc. | 424 | $72.5M | 01/01/2024 |
| Mayer Brown Llp Usa Savings Plan | Mayer Brown Llp | 2,078 | $1.2B | 01/01/2024 |
| Schwabplan Retirement Savings And Investment Plan | The Charles Schwab Corporation | 32,145 | $8.9B | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/30/2026 | 1.14 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Selection of other advisers
- • Other services
Custody
Reported custodians
- Charles Schwab & Co. $4.1B (49% of AUM) Mar 2026
- Fidelity Distributors Company Llc $3.8B (45% of AUM) Mar 2026
- Fidelity Investments Institutional Services Company, Inc. $1.7B (35% of AUM) Mar 2019
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 30, 2026.
View current Form ADV (SEC/IAPD) ↗