{ "crd_number": 139665, "slug": "bhk-securities-llc-birmingham-al-139665", "primary_business_name": "BHK SECURITIES, LLC", "legal_name": "BHK SECURITIES, LLC", "dbas": [], "city": "Birmingham", "state": "AL", "country": "United States", "cbsa_code": "13820", "metro": { "cbsa_code": "13820", "common_name": "Birmingham", "msa_name": "Birmingham, AL", "path": "/advisors/al/birmingham" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2006-09-21", "years_registered": 20, "period": "2026-10-01", "filing_date": "2026-03-26", "carried_forward": false, "raum_total": 128447277.0, "raum_discretionary": 54745394.0, "raum_non_discretionary": 73701883.0, "raum_band": "100m_500m", "raum_band_label": "$100 million to $500 million", "total_employees": 8, "advisory_employees": 3, "client_count_bucket": "fewer_than_5_in_some_types", "clients_by_type": { "individuals": { "raum": 14901235.0, "count": 42 }, "pension_profit_sharing": { "raum": 2106259.0, "count": null, "fewer_than_5": true }, "high_net_worth_individuals": { "raum": 111389187.0, "count": 61 }, "corporations_other_businesses": { "raum": 50596.0, "count": null, "fewer_than_5": true } }, "compensation_types": [ "commissions", "percentage_of_aum" ], "advisory_activities": [ "pension_consulting", "portfolio_management_businesses_institutional", "portfolio_management_individuals", "selection_of_other_advisers" ], "wrap_fee_participant": true, "disclosure_yes_count": 2, "states_registered": [ "AL", "FL", "GA", "LA", "MI", "SC", "TN", "TX", "WA" ], "websites": [ "https://bhkllc.com" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/139665", "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?" }, { "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": "BIRMINGHAM", "url": "https://advisorcensus.com/firm/bhk-securities-llc-birmingham-al-139665", "display_name": "BHK Securities, LLC", "summary": "BHK Securities, LLC is an SEC-registered investment advisory firm in Birmingham, AL, registered since 2006, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 26, 2026.", "citation": "AdvisorCensus. BHK Securities, LLC (CRD 139665): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Commissions" ], "advisory_activity_labels": [ "Portfolio management for individuals and/or small businesses", "Portfolio management for businesses (other than small businesses) or institutional clients", "Pension consulting services", "Selection of other advisers (including private fund managers)" ], "quick_answers": [ { "q": "How is BHK Securities, LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), BHK Securities, LLC reports these compensation arrangements: a percentage of assets under its management; commissions." }, { "q": "Where is BHK Securities, LLC located?", "a": "BHK Securities, LLC's principal office is in Birmingham, AL, according to its Form ADV." }, { "q": "Is BHK Securities, LLC registered with the SEC or a state?", "a": "BHK Securities, LLC is an SEC-registered investment advisory firm, registered since 2006. Status as filed: Approved. CRD 139665." }, { "q": "How much does BHK Securities, LLC manage?", "a": "BHK Securities, LLC reports $128,447,277 in regulatory assets under management in its Form ADV filing dated March 26, 2026 (43% discretionary)." }, { "q": "How have BHK Securities, LLC's assets and staff changed since 2021?", "a": "In the Form ADV data for BHK Securities, LLC: Regulatory assets under management: $80,768,389 in the October 2021 data and $128,447,277 in the October 2026 data, up 59%. Total employees: 8 in October 2021 and 8 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does BHK Securities, LLC serve?", "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (61); individuals (other than high net worth individuals) (42)." }, { "q": "Which custodians does BHK Securities, LLC use?", "a": "BHK Securities, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Wells Fargo Clearing Services, LLC as a custodian holding 10% or more of its separately managed account assets." }, { "q": "Does BHK Securities, LLC report any disciplinary disclosures?", "a": "Reports 2 disclosure items on Form ADV Item 11: yes answers to 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/139665" } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 80768389.0, "total_employees": 8, "filing_date": "2021-09-21" }, { "period": "2022-10-01", "regulatory_assets_under_management": 131017531.0, "total_employees": 9, "filing_date": "2022-09-15" }, { "period": "2023-10-01", "regulatory_assets_under_management": 103566302.0, "total_employees": 9, "filing_date": "2023-03-31" }, { "period": "2024-10-01", "regulatory_assets_under_management": 113807484.0, "total_employees": 9, "filing_date": "2024-03-25" }, { "period": "2025-10-01", "regulatory_assets_under_management": 133843583.0, "total_employees": 8, "filing_date": "2025-03-24" }, { "period": "2026-10-01", "regulatory_assets_under_management": 128447277.0, "total_employees": 8, "filing_date": "2026-03-26" } ], "recent_changes": [], "fees_from_brochure": null, "custodians": [ { "name": "Wells Fargo Clearing Services, LLC", "name_as_filed": "WELLS FARGO CLEARING SERVICES, LLC", "affiliated": false } ], "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.", "markdown_url": "https://advisorcensus.com/firm/bhk-securities-llc-birmingham-al-139665.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 42, "fewer_than_5": false, "raum": 14901235.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 61, "fewer_than_5": false, "raum": 111389187.0 }, { "type": "pension_profit_sharing", "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)", "count": null, "fewer_than_5": true, "raum": 2106259.0 }, { "type": "corporations_other_businesses", "label": "Corporations or other businesses not listed above", "count": null, "fewer_than_5": true, "raum": 50596.0 } ], "disclosure_line": "Reports 2 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/139665", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }