SAXON SECURITIES LLC

RIASEC RegisteredEst. 2014

Total AUM

$94.6M

Discretionary

$94.6M

100% of AUM

Avg account

$3.8M

Accounts

Employees

Advisory reps

Firm details

Headquarters: SAN FRANCISCO, California
CRD number: 155168
Registered since: January 28, 2014
Custodians: MID ATLANTIC CAPITAL CORPORATION, U.S. BANCORP INVESTMENTS, INC.
Fee structure: Percentage of AUM
Client types: Corporations / Businesses38.16%
Other Investment Advisers31.02%
State / Municipal Government16.71%
Charitable Organizations14.09%
HNWI0.02%
Services: Portfolio Management for IndividualsPortfolio Management for Institutional Clients

Firm profile

FINTRX

Overview

Saxon Securities LLC operates as a small, fee-based advisory firm that concentrates on discretionary portfolio management for both individuals and businesses or institutions. The firm’s filings show a conservative tilt: cash and cash equivalents represent the largest single asset class, suggesting liquidity-focused allocations or short-term cash management strategies for its client base. Saxon charges a percentage-of-AUM fee and manages client relationships directly, rather than operating primarily as a consultant or pension specialist. The adviser is not identified as an active ESG investor and does not report being a multi-state adviser. Saxon’s client mix includes high-net-worth individuals, families and institutional/business accounts. With a limited client roster, the firm appears to provide tailored, hands-on management rather than a high-volume, model-driven platform.