Floyd, Benjamin Joseph
- Regulatory AUM
- $214M
- Discretionary
- $199M
- Clients
- 308
- Avg AUM / client
- $693K
- Accounts
- 308
- Employees
- 4
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Jan 14, 2026
Investments (13F portfolio — 1 positions, $131,506,944)
13F period Jun 30, 2026| # | Issuer | Class | Value | Shares | % of 13F | % of AUM |
|---|---|---|---|---|---|---|
| 1 | Spdr State Street Global Advisors | PORTFOLIO S&P500 | $131,506,944 | 176,101 | 100.0% | 61.6% |
Top 25 of 1 positions from the manager's latest Form 13F · source filing (EDGAR) ↗. 13F covers long US-listed positions only. "% of AUM" is share of the firm's total regulatory AUM (Form ADV Item 5.F).
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 58 | $1.7M | 0.8% |
| High net worth individuals | 221 | $169M | 79.0% |
| Pension and profit sharing plans | 8 | $2.1M | 1.0% |
| Charitable organizations | 1 | $483K | 0.23% |
| Corporations and other businesses | 20 | $40.5M | 19.0% |
People (3)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Floyd, Benjamin, Joseph | Chief Compliance Officer | Jun 1986 (40y) | 75% or more | |
| Benjamin Jacob Le Grand | Registered representative | May 2024 (2y) | ||
| Koltlon Johnson | Registered representative | Nov 2024 (2y) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 01/14/2026 | 903 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for individuals/small businesses
Custody
Reported custodians
- Charles Schwab & Co. $165M (77% of AUM) Jan 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jan 14, 2026.
View current Form ADV (SEC/IAPD) ↗