SourcingSourcing

SAXON SECURITIES LLC

B61
CRD 155168·SEC 801-79118·SAN FRANCISCO, CA
AUM
$94.6M
$25M-$100M
Est. Revenue
$946K
@ 1% on AUM
Est. EBITDA
$284K
@ 30% margin
Est. Deal Value
$2.3M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
SAXON SECURITIES LLC
CRD
155168
SEC file #
801-79118
EIN
—
DBA names
—

Economics

AUM
$94.6M
AUM band
$25M-$100M
AUM trajectory
'20'26
$100.6M → $94.6M▼ -6%
Client mix
Charitable Organizations7
Other Investment Advisers7
State Or Municipal Govt5
Corporations5
Individuals High Net Worth1

Operations

Employees (total)
2
Advisory staff (per ADV)
1
Advisory staff (5-yr trend)
'20'26
3 advisors → 1 advisors▼ -67%
Primary office
SAN FRANCISCO CA
Branches
—

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Portfolio mgmt — individualsPortfolio mgmt — businesses
Fee basis
% of AUM

Filings

Latest ADV filing
03/27/2026
ADV-W filed at
—
Website
saxonsecurities.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
LUCIA, NED, FRANCIS
Top Owner Pct
62.5
Top Owner Entity Kind
I
Owner Count
1
Control Persons
LUCIA, NED, FRANCIS
Solo Advisor Indicator
Yes
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
SAXONSECURITIES.COM
Rdap Domain Creation Date
2010-08-09T22:39:12Z
Rdap Firm Age Years
16
Rdap Firm Age Band
10-20y
Rdap Registrar
GoDaddy.com, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (14)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
1
Bc Firm IAR Count
1
Custodian Candidates
Full
E*trade4
U.s. Bank2
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2026-08-09T22:39:12Z
Rdap Domain Last Changed
2025-08-10T11:37:15Z
Rdap Nameservers
Kara.ns.cloudflare.comNed.ns.cloudflare.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Delete ProhibitedClient Renew ProhibitedClient Transfer ProhibitedClient Update Prohibited
Top Owner CRD
5582090
Trust Company Affiliate
No

People (1)

1
LUCIA, NED, FRANCIS
IAR · Direct Owner · 62.5%
5582090