Security Investors, LLC (New York)
Security Investors, LLC is a large advisory firm based in New York. It manages $9.29 billion of regulatory assets for 134 client accounts. It has been registered with the SEC as an adviser since 2007 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 49 other states.
Security Investors provides portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients, and selection of other advisers. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.
Security Investors: assets under management
The assets under management (AUM) of Security Investors, LLC is $9.29 billion, all of which is managed in discretionary accounts. The firm's AUM has gone down by -25% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.
Investments
The firm invests in exchange traded securities the most. They account for 97% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 3% of the firm’s portfolio.Fees & Commissions
The advisory firm has a single stream of revenue. Clients pay Security Investors, LLC for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.
What kind of clients Richard Mark Goldman serves?
The firm provides services to investment companies, charitable organizations, and pooled investment vehicles. The largest group of clients of Richard Mark Goldman is investment companies with 127 clients and $9.28 billion of assets under management. Among the 7 most similar advisory firms, Security Investors has the highest percentage of investment companies out of all clients.
The amount of regulatory assets under management is $9.29 billion for 134 clients. None of the firm’s clients are foreign persons or businesses.
Security Investors doesn't advise any private funds.
Careers at Security Investors, LLC
The company employs 46 people that are either part- or full-time employees. 74 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.
There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.
Richard Mark Goldman has been acting as President since 1 Aug 2007. Farhan Sharaff has served as the Chief Investment Officer since 1 May 2012. Margaux Marie Misantone joined the executive team most recently as the Chief Compliance Officer.
Direct owners and executive officers
Indirect Owners
The SEC currently registers 32 indirect owners.Based in New York
The principal office where Security Investors, LLC performs its advisory services is located at 330 Madison Avenue, New York, NY 10017, which is also the mailing address of the firm. An additional office of the firm is in Rockville, MD. It doesn’t run an office outside of the United States.
You can reach the main office by calling the phone number 212-739-0700. The normal business hours are 8:30 to 4:30 est on Monday - Friday. You can find more information about the New York firm at rydexfundsfp.com.
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