BRIGHTON SECURITIES CORP.
Adviser information for BRIGHTON SECURITIES CORP. last updated from Form ADV on March 22nd, 2024. 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 | DECEMBER |
| Legal Location | New York, United States |
Employees
| Total Number of Employees | 35 |
|---|---|
| Investment Advisory/Research | 29 |
| Registered Broker-Dealer Representatives | 34 |
| Registered State Investment Advisers | 29 |
| Licensed Agents of an Insurance Company | 30 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,158 | $275.7M |
| Non-Discretionary | 950 | $336.2M |
| Total | 2,108 | $611.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 1,026 | $242.9M |
| HNW Individuals | 215 | $335.6M |
| 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 | 9 | $14.6M |
| Charitable organizations | 9 | $6.5M |
| 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 | 10 | $12.3M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| 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-dealer |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 522.0M |
| Both for Same | 3.6M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| ASSET ADVISOR | WELLS FARGO CLEARING SERVICES, LLC |
| CUSTOM CHOICE | WELLS FARGO CLEARING SERVICES, LLC |
| UMA- SINGLE STRATEGY | WELLS FARGO ADVISORS, LLC. |
| FUNDSOURCE | WELLS FARGO ADVISORS, LLC. |
| UMA - ALLOCATION ADVISORS | WELLS FARGO ADVISORS, LLC. |
| UMA - MULTIPLE STRATEGY | WELLS FARGO CLEARING SERVICES, LLC |
| PRIVATE INVESTMENT MANANGERMENT | WELLS FARGO |
Identifiers
| SEC RIA File Number | 801-62276 |
|---|---|
| SEC ERA File Number | 801-62276 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 3875 |
| Legal Entity Identifier | None |
Principal Office
1703 MONROE AVENUEROCHESTER
NY
United States
Monday - Friday, 8-5
Tel: 585-473-3590, Fax: 585-473-9835
Websites
twitter.com/saperston_asset
twitter.com/team_brighton
www.linkedin.com/company/brighton-securities
southerntierfinancial.com/cfp/
facebook.com/brightonsecurities
brightonsecurities.com/
www.calwilliswealth.com/
www.crossedpineswealth.com/
www.saperston.com
facebook.com/saperston
mbwealthadvisors.com/
Chief Compliance Officer
LORI ALBERTS
1703 MONROE AVENUE
ROCHESTER
NY
United States
Tel:
585-340-2235
Fax:
585-473-9835
L*******@*********************M
(Full email address available in API data)
Regulatory Contact
GEORGE CONBOY
CEO
1703 MONROE AVENUE
ROCHESTER
NY
United States
Tel:
585-340-2228
G*******@*********************M
(Full email address available in API data)
Industry Affiliates
| BRIGHTON SECURITIES CAPITAL 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 |
|---|---|---|---|---|---|
| BRIGHTON SECURITIES HOLDINGS INC | Domestic Entity | – | OWNER | 01/2018 | > 75% |
| CONBOY, GEORGE THOMAS | Individual | BRIGHTON SECURITIES HOLDINGS INC. | CHAIRMAN | 01/2018 | 50-75% |
| HENDEE, DOUGLAS ARTHUR | Individual | BRIGHTON SECURITIES HOLDINGS INC | VICE PRESIDENT | 01/2018 | |
| KRAVETZ, ROBERT A | Individual | BRIGHTON SECURITIES HOLDINGS INC | SENIOR VICE PRESIDENT- FINANCIAL ADVISOR | 01/2018 | |
| HICKS, STEPHEN T. | Individual | BRIGHTON SECURITIES HOLDINGS INC | FINANCIAL ADVISOR | 02/2018 | |
| WADE, ETHAN JOEL | Individual | BRIGHTON SECURITIES HOLDINGS INC | VICE PRESIDENT - FINANCIAL ADVISOR | 02/2018 | |
| WADE, CHARLES WILLIAM | Individual | BRIGHTON SECURITIES HOLDINGS INC | VICE PRESIDENT - FINANCIAL ADVISORS | 02/2018 | |
| CONBOY, GEORGE THOMAS | Individual | – | CHAIRMAN | 01/2018 | < 5% |
| SCENIC BUFFALO | Domestic Entity | BRIGHTON SECURIITES HOLDING INC. | SHAREHOLDER | 10/2018 | |
| ALBERTS, LORI ANN | Individual | – | CCO | 01/2019 | < 5% |
| FASCIANO, SALVATORE ANTHONY | Individual | BRIGHTON SECURIITES HOLDINGS INC | VICE PRESIDENT - FINANCIAL ADVISOR | 12/2019 | |
| CONBOY, GEORGE THOMAS | Individual | – | CEO | 12/2021 | < 5% |
| ALEXANDER, TODD W | Individual | BRIGHTON SECURITIES HOLDING | FINANCIAL ADVISOR | 12/2021 | |
| HAWRYSCHUK, MELISSA | Individual | BRIGHTON SECURITIES HOLDING | SHAREHOLDER | 12/2021 | |
| PEARTREE, DAVID S | Individual | BRIGHTON SECURITIES HOLDING | SHAREHOLDER | 12/2021 | |
| DINORMA, SAMUEL JOSEPH | Individual | BRIGHTON SECURITIES HOLDING | FINANCIAL ADVISOR | 12/2022 |