{ "crd_number": 2625, "slug": "bernard-l-madoff-investment-securities-llc-new-york-ny-2625", "primary_business_name": "BERNARD L. MADOFF INVESTMENT SECURITIES LLC", "legal_name": "BERNARD L. MADOFF INVESTMENT SECURITIES LLC", "dbas": [], "city": "New York", "state": "NY", "country": "United States", "cbsa_code": "35620", "metro": { "cbsa_code": "35620", "common_name": "New York", "msa_name": "New York-Newark-Jersey City, NY-NJ", "path": "/advisors/ny/new-york" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2006-09-12", "years_registered": 20, "period": "2026-10-01", "filing_date": "2008-01-07", "carried_forward": false, "raum_total": 17091640696.0, "raum_discretionary": 17091640696.0, "raum_non_discretionary": 0.0, "raum_band": "over_5b", "raum_band_label": "Over $5 billion", "total_employees": null, "advisory_employees": null, "client_count_bucket": null, "clients_by_type": null, "compensation_types": [ "commissions" ], "advisory_activities": [ "portfolio_management_businesses_institutional", "portfolio_management_individuals" ], "wrap_fee_participant": null, "disclosure_yes_count": 1, "states_registered": [], "websites": [ "https://madoff.com" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/2625", "disclosure_items": [ { "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?" } ], "city_as_filed": "NEW YORK", "url": "https://advisorcensus.com/firm/bernard-l-madoff-investment-securities-llc-new-york-ny-2625", "display_name": "Bernard L. Madoff Investment Securities LLC", "summary": "Bernard L. Madoff Investment Securities LLC is an SEC-registered investment advisory firm in New York, NY, registered since 2006, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated January 7, 2008.", "citation": "AdvisorCensus. Bernard L. Madoff Investment Securities LLC (CRD 2625): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "Commissions" ], "advisory_activity_labels": [ "Portfolio management for individuals and/or small businesses", "Portfolio management for businesses (other than small businesses) or institutional clients" ], "quick_answers": [ { "q": "How is Bernard L. Madoff Investment Securities LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Bernard L. Madoff Investment Securities LLC reports these compensation arrangements: commissions. The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Where is Bernard L. Madoff Investment Securities LLC located?", "a": "Bernard L. Madoff Investment Securities LLC's principal office is in New York, NY, according to its Form ADV." }, { "q": "Is Bernard L. Madoff Investment Securities LLC registered with the SEC or a state?", "a": "Bernard L. Madoff Investment Securities LLC is an SEC-registered investment advisory firm, registered since 2006. Status as filed: Approved. CRD 2625." }, { "q": "How much does Bernard L. Madoff Investment Securities LLC manage?", "a": "Bernard L. Madoff Investment Securities LLC reports $17,091,640,696 in regulatory assets under management in its Form ADV filing dated January 7, 2008 (100% discretionary)." }, { "q": "How have Bernard L. Madoff Investment Securities LLC's assets and staff changed since 2021?", "a": "In the Form ADV data for Bernard L. Madoff Investment Securities LLC: Regulatory assets under management: $17,091,640,696 in the October 2021 data and $17,091,640,696 in the October 2026 data, unchanged. Assets under management move with markets as well as with clients coming and going." }, { "q": "Does Bernard L. Madoff Investment Securities LLC report any disciplinary disclosures?", "a": "Reports 1 disclosure item on Form ADV Item 11: yes answers to 11.E(2) (self-regulatory organization's finding of a rule violation). 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/2625" } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 17091640696.0, "total_employees": null, "filing_date": "2008-01-07" }, { "period": "2022-10-01", "regulatory_assets_under_management": 17091640696.0, "total_employees": null, "filing_date": "2008-01-07" }, { "period": "2023-10-01", "regulatory_assets_under_management": 17091640696.0, "total_employees": null, "filing_date": "2008-01-07" }, { "period": "2024-10-01", "regulatory_assets_under_management": 17091640696.0, "total_employees": null, "filing_date": "2008-01-07" }, { "period": "2025-10-01", "regulatory_assets_under_management": 17091640696.0, "total_employees": null, "filing_date": "2008-01-07" }, { "period": "2026-10-01", "regulatory_assets_under_management": 17091640696.0, "total_employees": null, "filing_date": "2008-01-07" } ], "recent_changes": [], "fees_from_brochure": null, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/bernard-l-madoff-investment-securities-llc-new-york-ny-2625.md", "clients": [], "disclosure_line": "Reports 1 disclosure item 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/2625", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }