Saxon Securities LLC
Answer a few questions and
get matched with an advisor.
Learn more about Saxon Securities LLC
Overview
Saxon Securities LLC is a financial advisory company that has its headquarters in South San Francisco, California. The company manages $182.2 million in assets under management throughout 57 accounts, making it a mid-tier investment advisory firm in the United States by assets under management (AUM). The company has a small group, including 2 financial advisors. Saxon Securities LLC does not act as a registered broker-dealer, signifying that the firm cannot buy and sell securities for its clients' and own accounts and instead is required to go through a broker-dealer company to do so. Securities are defined as tradable financial assets like equities, bonds and options.
Saxon Securities LLC administers all of the firm's client assets on a discretionary basis. Discretionary management is a structure in which transaction decisions for the client's account are made by a portfolio manager without requiring client consent. Saxon Securities LLC administers about $3.2 million in assets for each client account. The typical advisor at Saxon Securities LLC oversees around 29 client accounts, making it about average in terms of personalization.
The company's main office is at 611 Gateway Boulevard, South San Francisco, California 94080. It is allowed to serve investors in the state of California.
Assets Under Management
Number of Advisors
Disclosures
Office Location
Saxon Securities LLC by the Numbers
$182.2 million
3
57
$3.2 million
Fee Structure
Financial management fees vary depending on which services are provided. However, fees billed by the company typically consist of the following fee structure: asset-based. The company does not participate in a wrap fee program, in which the firm offers a service bundle for a single fee.
Available
-
Offered by 69% of firms
Percentage of Assets
Unavailable
-
Find one of the 21% of firms that offer this fee type
Hourly
-
Find one of the 1% of firms that offer this fee type
Commissions
-
Find one of the 26% of firms that offer this fee type
Performance-based
-
Find one of the 0% of firms that offer this fee type
Subscription
-
Find one of the 32% of firms that offer this fee type
Fixed
-
Find one of the 10% of firms that offer this fee type
Other
Types of Clients
The company does business with a number of different clients. The company provides services to high net worth investors, charitable organizations, state or municipal government entities, other investment advisers and corporations. Out of its 57 accounts, Saxon Securities LLC's largest client type is other investment advisers, but it also serves one high-net-worth individuals. A high-net-worth individual is defined by the SEC as an investor who has at least $750,000 in AUM or a net worth of more than $1.50 million or who is deemed a "qualified purchaser" (a standard met by having at least $5 million in investments). None of the firm's accounts are represented by people from outside of the U.S.
- High-Net-Worth Individuals* - 6.67%
- Other Individuals - 0%
- Corporations - 66.67%
- Charitable Organizations - 26.67%
* The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.
Find an advisor who will work directly with you
Sometimes a big firm may not be able to give you the one-on-one service that you need. That's where we come in to help match you with great personal financial advisors. Click here to find your advisor matches today.
Disclosures
Saxon Securities LLC does not have any disclosures.
Please visit its Form ADV for more details.
Find a financial advisor near you
If you're interested in working with an advisor closer to you, we can help you find one. Click here to find your advisor matches today.
Financial Advisors at Saxon Securities LLC
South San Francisco, CA
South San Francisco, CA
Not sure which advisor is right for you? Use our matching tool
Our matching tool simplifies the process of finding a financial advisor. To match you with top financial advisors nearby, we ask you a series of questions about your retirement plans, life status, investment goals and advisor preferences, which are all important topics to consider when choosing a financial advisor. Click here to find your advisor matches today
The content in this profile was updated by SmartAsset on 4/16/2023. All advisor details come from publicly available data, and we cannot guarantee the accuracy of the content. We are unable to make individual profile updates. If you want your profile removed temporarily or permanently, please contact profile-compliance@smartasset.com.
The named financial professional and firm have not reviewed, approved, or endorsed this profile and are not responsible for its accuracy. Profile content is produced by SmartAsset independently of any business relationships that might exist between SmartAsset and the named financial professional and firm. Financial professionals and firms having business relationships with SmartAsset receive no special treatment or consideration in SmartAsset’s profiles.
This profile may include a firm or advisor that has a business relationship with SmartAsset, in which SmartAsset is compensated for lead referrals. SmartAsset is not a client of the aforementioned firms or advisors. SmartAsset did not receive compensation for including any of the firms or advisors in the aforementioned profile.
This page contains links to SmartAsset’s financial advisor matching tool, which may or may not match you with the advisor or firm mentioned in this profile. The matching tool does not include all available advisors and firms and matches based on specific criteria (investable assets, geography, and willingness to work with a remote advisor).
Certified Financial Planner Board of Standards, Inc. (CFP Board) owns the certification marks CFP® and CERTIFIED FINANCIAL PLANNER™ in the United States, which it authorizes the use of by individuals who successfully complete CFP Board’s initial and ongoing certification requirements.