INSIGHT SECURITIES, INC.
Adviser information for INSIGHT SECURITIES, INC. last updated from Form ADV on September 29th, 2023. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | JUNE |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 23 |
|---|---|
| Investment Advisory/Research | 10 |
| Registered Broker-Dealer Representatives | 14 |
| Registered State Investment Advisers | 10 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 54 | $126.7M |
| Non-Discretionary | 0 | $0 |
| Total | 54 | $126.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 19 | $6.5M |
| HNW Individuals | 9 | $28.6M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 26 | $91.7M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 40 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesCommissions |
| Other Business Activities | Broker-dealerInsurance broker or agent |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 9.0M |
| Portfolio Manager | 0 |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| INSIGHT SECURITIES, INC. WRAP FEE PROGRAM | INSIGHT SECURITIES, INC. |
| INSIGHT ELITE STRATEGIES WRAP PROGRAM | INSIGHT SECURITIES, INC. |
Identifiers
| SEC RIA File Number | 801-12999 |
|---|---|
| SEC ERA File Number | 801-12999 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 5611 |
| Legal Entity Identifier | 254900715MCG270G9341 |
Principal Office
600 CENTRAL AVE.SUITE 293
HIGHLAND PARK
IL
United States
Monday - Friday, 8:00AM-5:00PM
Tel: 224-632-4700, Fax: 224-632-4593
Websites
Chief Compliance Officer
JAMES KIM
CHIEF COMPLIANCE OFFICER
600 CENTRAL AVE.
SUITE 293
HIGHLAND PARK
IL
United States
Tel:
224-632-4700
Fax:
224-632-4592
J***@******************T
(Full email address available in API data)
Regulatory Contact
JAMES GAAFAR
CHIEF OPERATING OFFICER
600 CENTRAL AVE.
SUITE 293
HIGHLAND PARK
IL
United States
Tel:
224-632-4700
Fax:
224-632-4593
J******@******************T
(Full email address available in API data)
Industry Affiliates
| PRECISE INVESTMENT MANAGEMENT, INC. | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| LEGASPY, CARLOS JAVIER | Individual | INTELLIGENICS, INC.(HOLDING COMPANY) | SHAREHOLDER | 09/2019 | 50-75% |
| INTELLIGENICS, INC. | Domestic Entity | – | HOLDING COMPANY/STOCKHOLDER | 07/2013 | > 75% |
| LEGASPY, CARLOS JAVIER | Individual | – | PRINCIPAL, PRESIDENT, CEO | 04/2020 | < 5% |
| MAKULA, MICHAEL JOSEPH MR. | Individual | – | CFO, FINOP | 04/2020 | < 5% |
| GAAFAR, OMAR JAMES | Individual | – | COO | 04/2020 | < 5% |
| KIM, JAMES J | Individual | – | CCO | 04/2020 | < 5% |
| BANCO SAN JUAN INTERNACIONAL INC | Domestic Entity | INTELLIGENICS, INC.(HOLDING COMPANY) | SHAREHOLDER | 10/2022 | 25-50% |