{
  "crd_number": 16204,
  "slug": "lifemark-securities-corp-rochester-ny-16204",
  "primary_business_name": "LIFEMARK SECURITIES CORP.",
  "legal_name": "LIFEMARK SECURITIES CORP.",
  "dbas": [],
  "city": "Rochester",
  "state": "NY",
  "country": "United States",
  "cbsa_code": "40380",
  "metro": {
    "cbsa_code": "40380",
    "common_name": "Rochester",
    "msa_name": "Rochester, NY",
    "path": "/advisors/ny/rochester"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2007-10-17",
  "years_registered": 18,
  "period": "2026-10-01",
  "filing_date": "2026-03-09",
  "carried_forward": false,
  "raum_total": 424939705.0,
  "raum_discretionary": 424939705.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "100m_500m",
  "raum_band_label": "$100 million to $500 million",
  "total_employees": 78,
  "advisory_employees": 78,
  "client_count_bucket": null,
  "clients_by_type": {
    "individuals": {
      "raum": 247056961.0,
      "count": 986
    },
    "high_net_worth_individuals": {
      "raum": 177882744.0,
      "count": 67
    }
  },
  "compensation_types": [
    "fixed",
    "hourly",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "portfolio_management_individuals",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 10,
  "states_registered": [
    "AL",
    "AR",
    "AZ",
    "CA",
    "CO",
    "CT",
    "DC",
    "DE",
    "FL",
    "GA",
    "HI",
    "IA",
    "ID",
    "IL",
    "IN",
    "KS",
    "KY",
    "LA",
    "MA",
    "MD",
    "ME",
    "MI",
    "MN",
    "MO",
    "MS",
    "MT",
    "NC",
    "NE",
    "NH",
    "NJ",
    "NM",
    "NV",
    "NY",
    "OH",
    "OR",
    "PA",
    "RI",
    "SC",
    "TN",
    "TX",
    "UT",
    "VA",
    "VT",
    "WA",
    "WI",
    "WV"
  ],
  "websites": [
    "https://lifemark.com",
    "https://linkedin.com/company/lifemark-securities-corp"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/16204",
  "disclosure_items": [
    {
      "item": "11.C(2)",
      "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?"
    },
    {
      "item": "11.C(4)",
      "question": "Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.C(5)",
      "question": "Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?"
    },
    {
      "item": "11.D(1)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?"
    },
    {
      "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.D(4)",
      "question": "In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.E(1)",
      "question": "Has a self-regulatory organization (such as FINRA) or a commodities exchange ever found that the firm or an advisory affiliate made a false statement or omission?"
    },
    {
      "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?"
    },
    {
      "item": "11.H(1)(b)",
      "question": "Has a domestic or foreign court ever found that the firm or an advisory affiliate was involved in a violation of investment-related statutes or regulations?"
    }
  ],
  "city_as_filed": "ROCHESTER",
  "url": "https://advisorcensus.com/firm/lifemark-securities-corp-rochester-ny-16204",
  "display_name": "Lifemark Securities Corp.",
  "summary": "Lifemark Securities Corp. is an SEC-registered investment advisory firm in Rochester, NY, registered since 2007, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 9, 2026.",
  "citation": "AdvisorCensus. Lifemark Securities Corp. (CRD 16204): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Hourly charges",
    "Fixed fees (other than subscription fees)"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Selection of other advisers (including private fund managers)"
  ],
  "quick_answers": [
    {
      "q": "How is Lifemark Securities Corp. compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Lifemark Securities Corp. reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees)."
    },
    {
      "q": "How much does Lifemark Securities Corp. charge?",
      "a": "Its Form ADV Part 2A brochure dated March 9, 2026 states: Hourly rate: $100 to $500 an hour (financial planning and consulting services). Fees can differ by service and may be negotiable; the brochure is the complete statement."
    },
    {
      "q": "Where is Lifemark Securities Corp. located?",
      "a": "Lifemark Securities Corp.'s principal office is in Rochester, NY, according to its Form ADV; the April 2026 filing also lists 19 other offices (Schedule D, Section 1.F)."
    },
    {
      "q": "Is Lifemark Securities Corp. registered with the SEC or a state?",
      "a": "Lifemark Securities Corp. is an SEC-registered investment advisory firm, registered since 2007. Status as filed: Approved. CRD 16204."
    },
    {
      "q": "How much does Lifemark Securities Corp. manage?",
      "a": "Lifemark Securities Corp. reports $424,939,705 in regulatory assets under management in its Form ADV filing dated March 9, 2026 (100% discretionary)."
    },
    {
      "q": "How have Lifemark Securities Corp.'s assets and staff changed since 2021?",
      "a": "In the Form ADV data for Lifemark Securities Corp.: Regulatory assets under management: $201,661,758 in the October 2021 data and $424,939,705 in the October 2026 data, up 111%. Total employees: 72 in October 2021 and 78 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Lifemark Securities Corp. serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (986); high net worth individuals (67)."
    },
    {
      "q": "Which custodians does Lifemark Securities Corp. use?",
      "a": "Lifemark Securities Corp.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and National Financial Services LLC as custodians holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Lifemark Securities Corp. report any disciplinary disclosures?",
      "a": "Reports 10 disclosure items on Form ADV Item 11: yes answers to 9 questions about regulatory matters and 1 question about civil court matters (11.C(2), 11.C(4), 11.C(5), 11.D(1), 11.D(2), 11.D(4), 11.E(1), 11.E(2), 11.E(4), 11.H(1)(b)). 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/16204"
    },
    {
      "q": "What changed in Lifemark Securities Corp.'s recent Form ADV filings?",
      "a": "In the April 2026 filing data: Its Item 11 disclosure answers changed (now yes: 11.H(1)(b); now no: 11.H(2)). Employees performing advisory functions went from 88 to 78. Changed its office addresses in Leesburg, VA. Added an office in East Northport, NY. No longer lists an office in Mooresville, NC."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 201661758.0,
      "total_employees": 72,
      "filing_date": "2021-09-10"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 266233344.0,
      "total_employees": 70,
      "filing_date": "2022-03-25"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 256337850.0,
      "total_employees": 70,
      "filing_date": "2023-09-08"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 246107839.0,
      "total_employees": 86,
      "filing_date": "2024-09-13"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 461475636.0,
      "total_employees": 88,
      "filing_date": "2025-03-28"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 424939705.0,
      "total_employees": 78,
      "filing_date": "2026-03-09"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Its Item 11 disclosure answers changed (now yes: 11.H(1)(b); now no: 11.H(2)).",
        "Employees performing advisory functions went from 88 to 78.",
        "Changed its office addresses in Leesburg, VA.",
        "Added an office in East Northport, NY.",
        "No longer lists an office in Mooresville, NC."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated March 9, 2026",
    "provided_by_the_firm": false,
    "tiers": [],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": null,
    "account_minimum_may_be_waived": false,
    "minimum_annual_fee": null,
    "planning_fees": [
      "Hourly rate: $100 to $500 an hour (financial planning and consulting services)"
    ],
    "figures": [
      {
        "label": "Planning fee",
        "statements": [
          "Hourly rate: $100 to $500 an hour (financial planning and consulting services)"
        ],
        "quotes": [
          "Hourly Fee Arrangement: The IAR may charge an hourly fee typically ranging from $100 - $500 per hour depending on the nature and complexity of the services to be rendered for the client."
        ]
      }
    ],
    "values": {
      "tiers": [],
      "range_pct": null,
      "max_pct": null,
      "account_minimum": null,
      "minimum_annual_fee": null,
      "planning": [
        {
          "kind": "hourly",
          "amount": null,
          "min": 100.0,
          "max": 500.0,
          "period": "hour",
          "service": "financial planning and consulting services"
        }
      ]
    },
    "quotes": [
      "Hourly Fee Arrangement: The IAR may charge an hourly fee typically ranging from $100 - $500 per hour depending on the nature and complexity of the services to be rendered for the client."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [
    {
      "name": "Charles Schwab & Co., Inc.",
      "name_as_filed": "CHARLES SCHWAB & CO., INC.",
      "affiliated": false
    },
    {
      "name": "National Financial Services LLC",
      "name_as_filed": "NATIONAL FINANCIAL 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/lifemark-securities-corp-rochester-ny-16204.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 986,
      "fewer_than_5": false,
      "raum": 247056961.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 67,
      "fewer_than_5": false,
      "raum": 177882744.0
    }
  ],
  "disclosure_line": "Reports 10 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/16204",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}