# Securities Industry Management Corp.

> Securities Industry Management Corp. is a state-registered investment advisory firm, registered since 1996, reporting under $25 million in regulatory assets under management in its Form ADV filing dated May 7, 2026.

- CRD: 19789
- Filed as: SECURITIES INDUSTRY MANAGEMENT CORP.
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Registered in Connecticut
- Filing period: October 2026
- Form ADV filing dated: May 7, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/19789
- AdvisorCensus page: https://advisorcensus.com/firm/securities-industry-management-corp-19789

## Quick answers

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

**Is Securities Industry Management Corp. registered with the SEC or a state?**
Securities Industry Management Corp. is a state-registered investment advisory firm, registered since 1996. Status as filed: APPROVED. CRD 19789.

**How much does Securities Industry Management Corp. manage?**
Securities Industry Management Corp. reports $11,700,000 in regulatory assets under management in its Form ADV filing dated May 7, 2026 (100% discretionary).

**What types of clients does Securities Industry Management Corp. serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (12); individuals (other than high net worth individuals) (2).

**Does Securities Industry Management Corp. report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/19789

## From the Form ADV filing

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

### Regulatory assets under management (Item 5.F)
- Total: $11,700,000
- Discretionary: $11,700,000
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 2 | $400,000 |
| High net worth individuals | 12 | $11,300,000 |

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

### Firm details
- Registered since: 1996 (29 years)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CT
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Securities Industry Management Corp. (CRD 19789): Form ADV filing data as of October 2026.