# Benjamin Securities, Inc.

> 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.

- CRD: 7754
- Filed as: BENJAMIN SECURITIES, INC.
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Albany, NY
- Filing period: October 2026
- Form ADV filing dated: October 1, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/7754
- AdvisorCensus page: https://advisorcensus.com/firm/benjamin-securities-inc-albany-ny-7754

## Quick answers

**How is Benjamin Securities, Inc. compensated?**
On its Form ADV (Item 5.E, October 2026), Benjamin Securities, Inc. reports these compensation arrangements: a percentage of assets under its management.

**Where is Benjamin Securities, Inc. located?**
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).

**Is Benjamin Securities, Inc. registered with the SEC or a state?**
Benjamin Securities, Inc. is an SEC-registered investment advisory firm, registered since 1987. Status as filed: Approved. CRD 7754.

**How much does Benjamin Securities, Inc. manage?**
Benjamin Securities, Inc. reports $39,466,317 in regulatory assets under management in its Form ADV filing dated October 1, 2026 (82% discretionary).

**How have Benjamin Securities, Inc.'s assets and staff changed since 2021?**
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.

**What types of clients does Benjamin Securities, Inc. serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (49); high net worth individuals (16).

**Does Benjamin Securities, Inc. report any disciplinary disclosures?**
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

**Does Benjamin Securities, Inc. state an account minimum?**
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."

**What changed in Benjamin Securities, Inc.'s recent Form ADV filings?**
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.

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management

### Fees and minimums (Form ADV Part 2A brochure dated September 29, 2025)

- Account minimum: $50,000 (the brochure says it may be waived or negotiated)

> Benjamin Securities, Inc. requires a minimum account of $50,000 for advisory clients, although we make exceptions on a case-by-case basis.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Regulatory assets under management (Item 5.F)
- Total: $39,466,317
- Discretionary: $32,496,529
- Non-discretionary: $6,969,788

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 49 | $9,279,605 |
| High net worth individuals | 16 | $30,186,712 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 0 | Not reported |
| Charitable organizations | Not reported | $0 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | 0 | $0 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses

### Firm details
- Registered since: 1987 (38 years)
- Employees: 6 total, 3 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: FL, IL, NY, OH, TX
- Disclosures (Item 11): Reports 3 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.D(2): 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?
- 11.E(2): 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?
- 11.E(4): 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?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/7754

### Other offices (Schedule D, Section 1.F), as of the October 2026 filing
- Pensacola, FL

### Websites listed on Form ADV (Item 1.I)
- benjaminsecurities.com

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $43,179,747 | 9 | September 30, 2021 |
| October 2022 | $32,426,067 | 10 | September 28, 2022 |
| October 2023 | $25,984,895 | 13 | September 28, 2023 |
| October 2024 | $33,945,441 | 12 | September 30, 2024 |
| October 2025 | $33,945,441 | 12 | October 1, 2024 |
| October 2026 | $39,466,317 | 6 | October 1, 2026 |

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.

## Changes in the filing (last 12 months)

### October 2026
- Regulatory assets under management went from $33,609,905 to $39,466,317 (+17%).
- Registered or notice-filed in TX.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Benjamin Securities, Inc. (CRD 7754): Form ADV filing data as of October 2026.