BHK SECURITIES, LLC
Adviser information for BHK SECURITIES, LLC last updated from Form ADV on March 25th, 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Alabama, United States |
Employees
| Total Number of Employees | 9 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 6 |
| Registered State Investment Advisers | 5 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 64 | $47.3M |
| Non-Discretionary | 128 | $66.5M |
| Total | 192 | $113.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 49 | $13.8M |
| HNW Individuals | 65 | $97.2M |
| 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 | <5 | $1.7M |
| 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 | <5 | $1.1M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMCommissions |
| Other Business Activities | Broker-dealerRegistered representative of a broker-dealerInsurance broker or agent |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 45.4M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| PRIVATE INVESTMENT MANAGEMENT | BHK SECURITIES, LLC |
| ASSET ADVISOR | BHK SECURITIES, LLC |
Identifiers
| SEC RIA File Number | 801-67198 |
|---|---|
| SEC ERA File Number | 801-67198 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 139665 |
| Legal Entity Identifier | None |
Principal Office
2200 LAKESHORE DRIVESUITE 250
BIRMINGHAM
AL
United States
Monday - Friday, 8-5PM
Tel: 205-322-2025, Fax: 205-322-9025
Websites
Chief Compliance Officer
JAMES BAILEY KNIGHT
2200 LAKESHORE DRIVE
SUITE 250
BIRMINGHAM
AL
United States
Tel:
205-322-2025
Fax:
205-322-9025
B************@*********M
(Full email address available in API data)
Regulatory Contact
MEREDYTH ROBERTS HAZZARD
CEO
2200 LAKESHORE DRIVE
SUITE 250
BIRMINGHAM
AL
United States
Tel:
205-874-1002
Fax:
205-322-9025
R************@*********M
(Full email address available in API data)
Industry Affiliates
| BHK INVESTMENT ADVISORS | 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 |
|---|---|---|---|---|---|
| BHK HOLDINGS, LLC | Domestic Entity | – | MANAGING MEMBER | 03/2005 | > 75% |
| HAZZARD, MEREDYTH ROBERTS | Individual | – | CEO / FINOP / CFO | 03/2005 | < 5% |
| KNIGHT, JAMES BAILEY | Individual | – | CHIEF COMPLIANCE OFFICER / SROP / CROP | 03/2005 | < 5% |
| HAZZARD, MEREDYTH ROBERTS | Individual | BHK HOLDINGS, LLC | PARTNER | 03/2005 | 25-50% |
| KNIGHT, JAMES BAILEY | Individual | BHK HOLDINGS, LLC | PARTNER | 03/2005 | 25-50% |
| BROCK, JOHN GURNEY | Individual | – | PRESIDENT | 10/2006 | < 5% |
| BROCK, JOHN GURNEY | Individual | BHK HOLDINGS, LLC | PARTNER | 10/2006 | 25-50% |