Thomas S. Sawyer

SAWYER FALDUTO ASSET MANAGEMENT

Elmhurst, IL 60126

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CRD#: 5408324

Professional summary

Thomas Samuel Sawyer, who also goes by Tom Sawyer, is a registered financial advisor currently at SAWYER FALDUTO ASSET MANAGEMENT, LLC located in Elmhurst, Illinois.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Thomas has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tom Sawyer

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Samuel Sawyer's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 18, 2010 - Present

SAWYER FALDUTO ASSET MANAGEMENT, LLC

Office #1: 589 S. York Street, Elmhurst, IL 60126

RIA

CRD#: 145026

Elmhurst, IL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SAWYER FALDUTO ASSET MANAGEMENT, LLC

SAWYER FALDUTO ASSET MANAGEMENT, LLC | SFAM, LLC

CRD#: 145026 / SEC#: 801-68317

RIA

Registered Investment Advisory firm - (9/13/2007 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Illinois
(1/18/2010)

IAR

Texas
(4/3/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/15/2010

Uniform Investment Adviser Law Examination

Current Firm

SAWYER FALDUTO ASSET MANAGEMENT, LLC

SAWYER FALDUTO ASSET MANAGEMENT, LLC | SFAM, LLC

CRD#: 145026 / SEC#: 801-68317

RIA

Registered Investment Advisory firm - (9/13/2007 Approved)

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Contact information

Main Address

589 S. York Street, Elmhurst, IL 60126

Mailing Address

Phone number

(630) 941-8560

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A WRAP BROCHURE (3/25/2025)

PART 2A BROCHURE (3/25/2025)

Regulatory assets under management

Total Number of Accounts	877
AUM (Assets Under Management)	$ 731,537,763

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Thomas S. Sawyer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Samuel Sawyer's CRS (Customer Relationship Summary).

Certified licenses

Experience

SAWYER FALDUTO ASSET MANAGEMENT, LLC

Primary Firm SEC Registration

SAWYER FALDUTO ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/15/2010

Current Firm

SAWYER FALDUTO ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SAWYER FALDUTO ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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