Saxon Securities Llc
- Regulatory AUM
- $94.6M
- Discretionary
- $94.6M
- Clients
- 25
- Avg AUM / client
- $3.8M
- Accounts
- 25
- Employees
- 2
AUM over time
Annual snapshots from Form ADV filings · as of Mar 27, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| High net worth individuals | 1 | $15.6K | 0.02% |
| Charitable organizations | 7 | $13.3M | 14.1% |
| State or municipal government entities | 5 | $15.8M | 16.7% |
| Other investment advisers | 7 | $29.4M | 31.0% |
| Corporations and other businesses | 5 | $36.1M | 38.2% |
People (1)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Ned Francis Lucia | Managing Partner, Chief Compliance Officer, Managing Member | Aug 2010 (16y) | 50% – 75% |
Undisclosed: 25% – 50% 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) | 03/27/2026 | 901 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
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- Pnc Bank $100M (24% of AUM) Mar 2021
- Customers Bancorp, Inc. $50.0M (12% of AUM) Mar 2021
- Mufg Union Bank, National Association $48.2M (11% of AUM) Mar 2021
- U.S. Bank $46.0M (49% of AUM) Mar 2026
- Mid Atlantic Trust Company Mar 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: Mar 27, 2026.
View current Form ADV (SEC/IAPD) ↗