Wealth manager, independent · St Louis, MO
Orion Investment Co
SEC-registered investment adviser · CRD 110867 · SEC 801-32212
At a glance
Orion Investment Co is an SEC-registered investment adviser based in St Louis, Missouri, with $515 million in regulatory assets under management as of its Form ADV filed June 25, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 667 individual clients. By Form ADV it is a wealth manager, ranked 2,828th of 8,915 wealth managers and 7,699th of 17,210 SEC-registered advisers by assets.
Main office 314-725-3800orioninvestmentco.comAs filed on Form ADV
- Regulatory AUM
- $515M
- Rank among wealth managers
- #2,828 of 8,915
- Rank among all SEC RIAs
- #7,699 of 17,210
- Rank in Missouri
- #93 of 196
- Individual clients
- 667
- High-net-worth clients
- 390
- Accounts
- 674
- Discretionary
- 95% of AUM
- Employees
- 6
- Advisory staff
- 3
- Offices
- 1
Owners and executives on its Form ADV
- Fred N. SauerPresident/treasurer/director
- Frederic G. SauerVice President/secretary/chief Compliance Officer/director
Custody and brokerage
Broker-dealer
Hybrid RIA
Orion Investment Co is a hybrid RIA: 5 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: Sauer, Dazey Investment Company.
- Sauer, Dazey Investment Company ↗CRD 16085
An introducing broker-dealer: its trades clear through RBC Capital Markets, which holds the brokerage accounts. Its annual audited report filed with the SEC, June 2026
Its Form ADV brochure (filed June 2026) names Sauer, Dazey Investment Company as the broker-dealer its advisers are registered with.
Florentin are registered representatives of Sauer Dazey Investment Company.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 390 | $477M | 93% |
| Individuals | 277 | $28M | 5% |
| Pension and profit sharing plans | – | $7M | 1% |
| Corporations or other businesses | 6 | $3M | <1% |
Disciplinary disclosures
Orion Investment Co reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for individuals and small businesses
How it’s paid
- A percentage of assets under management
Form ADV and brochures on the SEC’s adviser search ↗orioninvestmentco.com ↗
AtlasMembers
The full record on Orion Investment Co
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 5,380 peers of its type and size
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- Owners and executives, with titles and stakes
- 2 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Orion Investment Co manage?
Orion Investment Co reports $515 million in regulatory assets under management across 674 accounts, 95% of it on a discretionary basis, on its Form ADV filed June 25, 2026.
What kind of firm is Orion Investment Co?
Orion Investment Co is a wealth manager by its Form ADV answers. At least half of its regulatory assets are managed for individuals and high-net-worth individuals.
Who are Orion Investment Co’s clients?
By assets, its largest client types are high-net-worth individuals ($477 million, 390 clients); individuals ($28 million, 277 clients); pension and profit sharing plans ($7 million).
Does Orion Investment Co have any disciplinary history?
Orion Investment Co reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Orion Investment Co’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-06-25), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →