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SAXON SECURITIES LLC

SAN FRANCISCO, CA · CRD 155168 · IAPD ↗ · saxonsecurities.com · 415-820-5312

$94.6MRegulatory AUM
1Advisory reps
2Employees
0Clients
n/aPlanning clients
0Private funds
1States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

45
April 2026 — SAXON SECURITIES LLC reported RAUM down 31% ($137.2M -> $94.6M).
Regulatory AUM down >=25% since last filing.
M&A & valuationRecruiting & transitions
45
April 2025 — SAXON SECURITIES LLC reported RAUM down 27% ($186.8M -> $137.2M).
Regulatory AUM down >=25% since last filing.
M&A & valuationRecruiting & transitions

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.