Trubee Wealth Advisors, Inc.
Registered investment adviser · Buffalo, NY · CRD #3618
Form ADV data as of 2026-09-01Regulatory assets
$911.5 million
Total accounts
1,377
Employees
17
Disclosure events
1
Firm details
- Website: https://www.trubeewealth.com
- Telephone: 716-849-1401
- SEC file number: 801-70259
- Most recent Form ADV filing: 2026-03-17
- SEC record: View this firm on the SEC's IAPD site
Disciplinary disclosures
This firm reports 1 disclosure question answered Yes, covering 1 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.
- Another regulator found a violation of investment-related regulations or statutes
Assets and accounts
| Provides continuous and regular supervisory or management services | Yes |
| Discretionary regulatory assets under management | $791.6 million |
| Non-discretionary regulatory assets under management | $119.9 million |
| Total regulatory assets under management | $911.5 million |
| Discretionary accounts | 1,255 |
| Non-discretionary accounts | 122 |
| Total accounts | 1,377 |
| Regulatory assets under management attributable to non-U.S. persons | $0 |
People
| Total employees (excluding clerical) | 17 |
| Employees performing investment advisory functions (including research) | 14 |
| Employees who are registered representatives of a broker-dealer | 16 |
| Employees registered as investment adviser representatives with a state | 14 |
| Employees registered as IARs for another investment adviser | 0 |
| Employees who are licensed insurance agents | 11 |
| Firms or persons who solicit advisory clients on the firm's behalf | 0 |
Custody
| Has custody of client cash or bank accounts | Yes |
| Has custody of client securities | No |
| Client funds and securities held in the firm's custody | $724.2 million |
| Clients for whom the firm has custody | 686 |
| A related person has custody of client cash or bank accounts | No |
| A related person has custody of client securities | No |
| The firm acts as a qualified custodian | No |
| A related person acts as a qualified custodian | No |
| Number of persons acting as qualified custodians for the firm's clients | 1 |
How the firm is compensated
Advisory services offered
Other business activities
Reported conflicts of interest
Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:
- Buys or sells for itself securities it also recommends to clients
- Recommends brokers or dealers to clients
- Compensates a non-employee for client referrals
Client types
| Type of client | Clients | Assets |
|---|---|---|
| Individuals (other than high net worth individuals) | 520 | $206.3 million |
| High net worth individuals | 166 | $628.3 million |
| Pension and profit sharing plans (not the participants or government plans) | 9 | $12.4 million |
| Charitable organizations | 31 | $41.4 million |
| Corporations or other businesses not listed above | 8 | $23.0 million |