Securities Industry Management Corp.
RIAState Registered
Total AUM
$11.7M
Discretionary
$11.7M
100% of AUM
Avg account
$836K
Accounts
14
Employees
1
Advisory reps
2
Firm details
- Headquarters
- ,
- CRD number
- 19789
- Custodians
- CHARLES SCHWAB & CO., INC.
- Fee structure
- Percentage of AUM
- Client types
- HNWI96.58%
- Individuals3.42%
- Services
- Portfolio Management for Individuals
Firm profile
FINTRXOverview
Securities Industry Management Corp. is an independent, individually owned RIA corporation registered in Connecticut that focuses on fee-based portfolio management for individuals and small businesses. The firm’s client base is primarily individual and family clients and it charges advisory fees as a percentage of assets under management. In addition to portfolio management, the firm engages in other financial product sales.
Assets & Accounts
Location & Offices
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- Cash & Cash Equivalents50%
- Exchange Traded Equities35%
- State & Local Bonds10%
- Investment Grade Corp Bonds5%
Owners & executives
FINTRXContacts
FINTRXWealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXLocation
Primary office
, null
Location
, null
Headquartered in , null.
- Office locations
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