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SECURITIES INDUSTRY MANAGEMENT CORP.

Advisory

CT

Data as of May 7, 2026 · Source: SEC Form ADV

Rank in CT

#1,187

of 1,312 advisers by AUM

Average account

$836K

across 14 accounts

AUM per adviser

$12M

1 advisers

Source: SEC Form ADV. Figures as filed May 7, 2026.

Total AUM

$12M

1-Year AUM Growth

—

3-Year CAGR

—

Employees

1

Assets Under Management

Total AUM$12M

Discretionary AUM$12M

Non-Discretionary AUM$0

Discretionary %100%

Total Clients14

Team

Total Employees1

Investment Advisers1

Employee Growth (1Y)—

Registration

SEC RegisteredNo

Exempt ReportingNo

Legal StructureCorporation

Fiscal Year EndDecember

Operates InCT

Succession Risk

The underlying score, the five pillar breakdown, and the filing events behind it.

See plansIncluded with the Intelligence plan

Peer Benchmarking

The full peer set, and this firm's standing across AUM growth, efficiency, team size and 16 other metrics.

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Owners & Officers

Names, titles, ownership bands and control-person status for each.

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Client Demographics

14 clients

12 high-net-worth

The full client-type breakdown and the share of AUM each category represents.

See plansIncluded with the Intelligence plan

Advisers of similar size in CT

Closest by assets under management. All figures from Form ADV.

B.P. WALSH AND COMPANY, LLC

$12M

FAIRPORT ASSET MANAGEMENT CORP

$12M

PERENNIAL INVESTMENT PARTNERS (U.S.) INC.

$12M

FORUM MORTGAGE ADVISORS LLC

$12M

SPREE CAPITAL ADVISERS LLC

$12M

THE WF GROUP, LLC

$11M

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