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DWIGHT INVESTMENT MANAGEMENT LLC

SUNNY ISLES BEACH, FL · CRD 174984 · IAPD ↗ · dwightmortgagetrust.com · 212-960-3750

$4.56BRegulatory AUM
34Advisory reps
41Employees
2Clients
n/aPlanning clients
1Private funds
2States
0Disclosures
fundSegment
ApprovedSEC status

Filing changes

45
September 2026 — DWIGHT SECURITIES MANAGEMENT LLC is now doing business as DWIGHT INVESTMENT MANAGEMENT LLC.
Primary business name changed: rebrand, merger, or ownership change.
Marketing & brandCRM
57
April 2026 — DWIGHT SECURITIES MANAGEMENT LLC reported RAUM up 61% ($2.83B -> $4.56B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
60
April 2026 — DWIGHT SECURITIES MANAGEMENT LLC now reports 1 private fund(s) ($924.8M gross).
Firm reports private funds for the first time.
Fund administrationCompliance
65
April 2026 — DWIGHT SECURITIES MANAGEMENT LLC grew from 24 to 34 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
37
April 2025 — DWIGHT SECURITIES MANAGEMENT LLC notice-filed in NY.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
60
April 2025 — DWIGHT SECURITIES MANAGEMENT LLC now reports custody of client assets ($2.32B).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
64
April 2025 — DWIGHT SECURITIES MANAGEMENT LLC grew from 20 to 24 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software

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