SEC-registered wealth management firm Broker-dealer affiliated
Benjamin Securities, Inc.
As of its Form ADV filed October 1, 2026, Benjamin Securities, Inc., an SEC-registered, broker-dealer affiliated wealth management firm in Albany, New York, reported $39.5 million in regulatory assets under management across 65 accounts, ranking #746 among all wealth firms in New York by assets.
Registration
- Registration
- SEC-registered, Approved
- CRD number
- 7754
- SEC file number
- 801-30987
- Registered since
- December 24, 1987
- Latest Form ADV filing
- October 1, 2026
- Organized as
- Corporation
- Fiscal year ends
- June
- Other offices
- 1
Key figures
- Regulatory assets under management
- $39.5 million
- Discretionary
- $32.5 million (82.3%)
- Non-discretionary
- $7.0 million
- Accounts
- 65 (62 discretionary)
- Clients
- 65, approximate as reported
- Employees
- 6
- Advisory staff
- 3 performing investment advisory functions
- Average account
- $607,174
- Asset growth, 1 year
- 16.3% (from $33.9 million a year earlier)
- Asset growth, 3-year annual rate
- 14.9% (from $26.0 million three years earlier)
- Asset growth, 5-year annual rate
- -1.8% (from $43.2 million five years earlier)
- Client growth, 1 year
- -1.5% (from 66)
Broker-dealer affiliated. The firm is itself a broker-dealer as well as an investment adviser (Form ADV Item 6.A(1)). It is ranked among all wealth firms, the directory's view that includes wirehouses and broker-dealer firms, not in the main lists of independent RIAs. How firms are classed.
Growth rates come from the SEC's yearly snapshots and are left blank when the years are not comparable.
Rankings
Among all wealth firms, including wirehouses and broker-dealer firms.
Assets over time
Data table
| As of | RAUM |
|---|---|
| October 1, 2010 | $44.3 million |
| October 3, 2011 | $46.2 million |
| October 1, 2012 | $47.8 million |
| October 1, 2013 | $55.9 million |
| October 1, 2014 | $34.8 million |
| October 1, 2015 | $32.7 million |
| October 3, 2016 | $32.7 million |
| October 2, 2017 | $31.5 million |
| October 1, 2018 | $32.9 million |
| October 1, 2019 | $38.0 million |
| October 1, 2020 | $34.2 million |
| October 4, 2021 | $43.2 million |
| October 3, 2022 | $32.4 million |
| October 5, 2023 | $26.0 million |
| October 1, 2024 | $33.9 million |
| September 2, 2025 | $33.9 million |
| October 2, 2026 | $39.5 million |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| High net worth individuals 16 clients | $30.2 million | |
| Individuals (other than high net worth) 49 clients | $9.3 million |
How the firm is paid
- A percentage of assets under management
Advisory services
- Portfolio management for individuals or small businesses
Wrap fee program sponsor or portfolio manager: no.
Other business, affiliations and custody
Other business activities (Item 6.A)
- Broker-dealer
Financial industry affiliations (Item 7.A)
- Broker-dealer
Custody (Item 9)
The firm reported no custody of client cash or securities.
Investment adviser representatives
- IARs registered with the firm
- 3
- Also registered through a broker-dealer
- 2
- Employees who are IARs (Form ADV 5.B(3))
- 3
3 of the firm's 3 IARs are registered in jurisdictions that require IAR CE. IAR CE requirements by state.
Counts only. AdvisorIQ does not list individual people.
Disclosures
On Form ADV Item 11 the firm answered yes to 3 disclosure questions. See the detail on IAPD.
Succession and acquired firms
On Form ADV Item 4 the firm did not report succeeding to another adviser's business.
Similar-sized firms in New York
| Firm | City | RAUM |
|---|---|---|
| Financial Decisions (USA) LLC | Not reported | $39.6 million |
| Ihs Wealth Management LLC | Oyster Bay | $39.4 million |
| Amidon & Petersen Financials, LLC | Albany | $39.1 million |
| Anglia Advisors | Valley Stream | $39.0 million |
| Trunorth Financial LLC | Newburgh | $39.0 million |
The five wealth firms, broker-dealer affiliated firms included, nearest in regulatory assets with a main office in the same state.
Elsewhere
- Benjamin Securities, Inc. on IAPD: Form ADV, brochures and disclosure detail.
- Firm website: www.benjaminsecurities.com
- Wealth management firms in New York
Firm data as of October 2, 2026, from ia100226.zip. Figures are as the firm reported them; corrections are made on Form ADV and appear after the next monthly reload.
Data as of October 2, 2026, from Form ADV. Sources: SEC registered adviser data (ia100226.zip) and IAPD compilation reports. How the directory is built.