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SAXON SECURITIES LLC
CRD 155168File 801-79118
APPROVED
Retail clients
Filing as of Mar 27, 2026
Feed vintage Aug 17, 2026
Regulatory AUM
$94.6M
Bottom 25% of cohort (national)
Discretionary AUM
$94.6M
Clients
25
25 accounts
Employees
2
Bottom 25% of cohort in CA
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- SFRO
- Registration date
- Jan 28, 2014
- Principal office
- 611 GATEWAY BOULEVARD, SUITE 120 #1003, SAN FRANCISCO, CA, 94080
- Phone
- 415-820-5312
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $94.6M
- Discretionary AUM
- $94.6M
- Non-discretionary AUM
- $0
- Discretionary accounts
- 25
- Non-discretionary accounts
- 0
- Total accounts
- 25
- AUM per client
- $3.8M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 5 | $36.1M |
| Charitable organizations | 7 | $13.3M |
| Other investment advisers | 7 | $29.4M |
| High net worth individuals | Fewer than 5 | $16K |
| State or municipal government entities | 5 | $15.8M |
Compensation & activities
ADV Items 5E, 5GCompensation
- A percentage of assets under your management
Advisory activities
- Portfolio management for businesses
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To |
|---|---|---|---|
| Aug 12, 2026 | Registration | — | APPROVED |
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.