{
  "crd_number": 7754,
  "slug": "benjamin-securities-inc-albany-ny-7754",
  "primary_business_name": "BENJAMIN SECURITIES, INC.",
  "legal_name": "BENJAMIN SECURITIES, INC.",
  "dbas": [],
  "city": "Albany",
  "state": "NY",
  "country": "United States",
  "cbsa_code": "10580",
  "metro": {
    "cbsa_code": "10580",
    "common_name": "Albany",
    "msa_name": "Albany-Schenectady-Troy, NY",
    "path": "/advisors/ny/albany"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "1987-12-24",
  "years_registered": 38,
  "period": "2026-10-01",
  "filing_date": "2026-10-01",
  "carried_forward": false,
  "raum_total": 39466317.0,
  "raum_discretionary": 32496529.0,
  "raum_non_discretionary": 6969788.0,
  "raum_band": "25m_100m",
  "raum_band_label": "$25 million to $100 million",
  "total_employees": 6,
  "advisory_employees": 3,
  "client_count_bucket": null,
  "clients_by_type": {
    "charitable": {
      "raum": 0.0,
      "count": null
    },
    "individuals": {
      "raum": 9279605.0,
      "count": 49
    },
    "banking_thrift": {
      "raum": 0.0,
      "count": 0
    },
    "state_municipal": {
      "raum": 0.0,
      "count": 0
    },
    "insurance_companies": {
      "raum": 0.0,
      "count": 0
    },
    "investment_companies": {
      "raum": 0.0,
      "count": 0
    },
    "pension_profit_sharing": {
      "raum": null,
      "count": 0
    },
    "other_investment_advisers": {
      "raum": 0.0,
      "count": 0
    },
    "high_net_worth_individuals": {
      "raum": 30186712.0,
      "count": 16
    },
    "pooled_investment_vehicles": {
      "raum": 0.0,
      "count": 0
    },
    "corporations_other_businesses": {
      "raum": 0.0,
      "count": 0
    },
    "business_development_companies": {
      "raum": 0.0,
      "count": 0
    },
    "sovereign_wealth_foreign_official": {
      "raum": 0.0,
      "count": 0
    }
  },
  "compensation_types": [
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 3,
  "states_registered": [
    "FL",
    "IL",
    "NY",
    "OH",
    "TX"
  ],
  "websites": [
    "https://benjaminsecurities.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/7754",
  "disclosure_items": [
    {
      "item": "11.D(2)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?"
    },
    {
      "item": "11.E(2)",
      "question": "Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?"
    },
    {
      "item": "11.E(4)",
      "question": "Has a self-regulatory organization or a commodities exchange ever disciplined the firm or an advisory affiliate by expelling or suspending it from membership, barring or suspending it from association with other members, or otherwise restricting its activities?"
    }
  ],
  "city_as_filed": "ALBANY",
  "url": "https://advisorcensus.com/firm/benjamin-securities-inc-albany-ny-7754",
  "display_name": "Benjamin Securities, Inc.",
  "summary": "Benjamin Securities, Inc. is an SEC-registered investment advisory firm in Albany, NY, registered since 1987, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated October 1, 2026.",
  "citation": "AdvisorCensus. Benjamin Securities, Inc. (CRD 7754): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management"
  ],
  "advisory_activity_labels": [
    "Portfolio management for individuals and/or small businesses"
  ],
  "quick_answers": [
    {
      "q": "How is Benjamin Securities, Inc. compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Benjamin Securities, Inc. reports these compensation arrangements: a percentage of assets under its management."
    },
    {
      "q": "Where is Benjamin Securities, Inc. located?",
      "a": "Benjamin Securities, Inc.'s principal office is in Albany, NY, according to its Form ADV; the October 2026 filing also lists 1 other office (Schedule D, Section 1.F)."
    },
    {
      "q": "Is Benjamin Securities, Inc. registered with the SEC or a state?",
      "a": "Benjamin Securities, Inc. is an SEC-registered investment advisory firm, registered since 1987. Status as filed: Approved. CRD 7754."
    },
    {
      "q": "How much does Benjamin Securities, Inc. manage?",
      "a": "Benjamin Securities, Inc. reports $39,466,317 in regulatory assets under management in its Form ADV filing dated October 1, 2026 (82% discretionary)."
    },
    {
      "q": "How have Benjamin Securities, Inc.'s assets and staff changed since 2021?",
      "a": "In the Form ADV data for Benjamin Securities, Inc.: Regulatory assets under management: $43,179,747 in the October 2021 data and $39,466,317 in the October 2026 data, down 9%. Total employees: 9 in October 2021 and 6 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Benjamin Securities, Inc. serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (49); high net worth individuals (16)."
    },
    {
      "q": "Does Benjamin Securities, Inc. report any disciplinary disclosures?",
      "a": "Reports 3 disclosure items on Form ADV Item 11: yes answers to 11.D(2) (another regulator's finding of a violation), 11.E(2) (self-regulatory organization's finding of a rule violation), and 11.E(4) (self-regulatory organization's expulsion, suspension, bar, or restriction). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/7754"
    },
    {
      "q": "Does Benjamin Securities, Inc. state an account minimum?",
      "a": "Its Form ADV Part 2A brochure dated September 29, 2025 says: \"Benjamin Securities, Inc. requires a minimum account of $50,000 for advisory clients, although we make exceptions on a case-by-case basis.\""
    },
    {
      "q": "What changed in Benjamin Securities, Inc.'s recent Form ADV filings?",
      "a": "In the October 2026 filing data: Regulatory assets under management went from $33,609,905 to $39,466,317 (+17%). Registered or notice-filed in TX."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 43179747.0,
      "total_employees": 9,
      "filing_date": "2021-09-30"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 32426067.0,
      "total_employees": 10,
      "filing_date": "2022-09-28"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 25984895.0,
      "total_employees": 13,
      "filing_date": "2023-09-28"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 33945441.0,
      "total_employees": 12,
      "filing_date": "2024-09-30"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 33945441.0,
      "total_employees": 12,
      "filing_date": "2024-10-01"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 39466317.0,
      "total_employees": 6,
      "filing_date": "2026-10-01"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-10-01",
      "period_label": "October 2026",
      "notes": [
        "Regulatory assets under management went from $33,609,905 to $39,466,317 (+17%).",
        "Registered or notice-filed in TX."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated September 29, 2025",
    "tiers": [],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": "$50,000",
    "account_minimum_may_be_waived": true,
    "minimum_annual_fee": null,
    "figures": [
      {
        "label": "Account minimum",
        "statements": [
          "Account minimum: $50,000 (the brochure says it may be waived or negotiated)"
        ],
        "quotes": [
          "Benjamin Securities, Inc. requires a minimum account of $50,000 for advisory clients, although we make exceptions on a case-by-case basis."
        ]
      }
    ],
    "quotes": [
      "Benjamin Securities, Inc. requires a minimum account of $50,000 for advisory clients, although we make exceptions on a case-by-case basis."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [],
  "custodians_note": null,
  "markdown_url": "https://advisorcensus.com/firm/benjamin-securities-inc-albany-ny-7754.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 49,
      "fewer_than_5": false,
      "raum": 9279605.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 16,
      "fewer_than_5": false,
      "raum": 30186712.0
    },
    {
      "type": "banking_thrift",
      "label": "Banking or thrift institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "business_development_companies",
      "label": "Business development companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": null,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "sovereign_wealth_foreign_official",
      "label": "Sovereign wealth funds and foreign official institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    }
  ],
  "disclosure_line": "Reports 3 disclosure items on Form ADV Item 11.",
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/7754",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}