SAXON SECURITIES LLC
Adviser information for SAXON SECURITIES LLC last updated from Form ADV on March 29th, 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 | Delaware, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 1 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 2 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 182 | $186.8M |
| Non-Discretionary | 0 | $0 |
| Total | 182 | $186.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | <5 | $2.4M |
| 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 | 5 | $14.4M |
| State or municipal gov entities | 6 | $15.0M |
| Other investment advisers | 6 | $99.8M |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 4 | $55.2M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-79118 |
|---|---|
| SEC ERA File Number | 801-79118 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 155168 |
| Legal Entity Identifier | None |
Principal Office
611 GATEWAY BOULEVARDSUITE 120 #1003
SAN FRANCISCO
CA
United States
Monday - Friday, 8:30AM - 5PM
Tel: 415-820-5312, Fax: 415-820-5399
Websites
Chief Compliance Officer
NED FRANCIS LUCIA
30 FAIRFIELD CT
SAN MATEO
CA
United States
Tel:
415-820-5312
Fax:
415-820-5399
C*********@******************M
(Full email address available in API data)
Regulatory Contact
NED FRANCIS LUCIA
MANAGING PARTNER
30 FAIRFIELD CT
SAN MATEO
CA
United States
Tel:
415-820-5312
Fax:
415-820-5399
N*****@******************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| LUCIA, NED, FRANCIS | Individual | – | MANAGING PARTNER, CHIEF COMPLIANCE OFFICER, MANAGING MEMBER | 08/2010 | 50-75% |