Security Investors, LLC (New York)


Security Investors, LLC is a large advisory firm based in New York. It manages $9.29 billion of regulatory assets for 134 client accounts. It has been registered with the SEC as an adviser since 2007 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 49 other states.

Logo

Security Investors provides portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients, and selection of other advisers. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Security Investors: assets under management

The assets under management (AUM) of Security Investors, LLC is $9.29 billion, all of which is managed in discretionary accounts. The firm's AUM has gone down by -25% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.


The firm manages $9.29 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $69.36 million each.

Investments

The firm invests in exchange traded securities the most. They account for 97% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 3% of the firm’s portfolio.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Security Investors, LLC for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Richard Mark Goldman serves?

The firm provides services to investment companies, charitable organizations, and pooled investment vehicles. The largest group of clients of Richard Mark Goldman is investment companies with 127 clients and $9.28 billion of assets under management. Among the 7 most similar advisory firms, Security Investors has the highest percentage of investment companies out of all clients.


The amount of regulatory assets under management is $9.29 billion for 134 clients. None of the firm’s clients are foreign persons or businesses.

Security Investors doesn't advise any private funds.

Careers at Security Investors, LLC

The company employs 46 people that are either part- or full-time employees. 74 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Richard Mark Goldman has been acting as President since 1 Aug 2007. Farhan Sharaff has served as the Chief Investment Officer since 1 May 2012. Margaux Marie Misantone joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers



Name Entity Date acquired Ownership Employer ID
Amy Jo Lee Sr. vice president & secretary 1 Sep 1996 Other 1161869
Amy Jo Lee Secretary & svp 1 Nov 1996 Other 1161869
Security Benefit Life Insurance Company Member 1 Nov 1996 75% - 100% 48-0409770
Brenda Marie Harwood Chief compliance officer 1 Sep 2004 Other 1522593
Security Benefit Corporation Member 1 Jan 2005 Other 48-1202239
Thomas Richard Kaehr Treasurer 1 Mar 2007 Other 4601435
Richard Mark Goldman President 1 Aug 2007 Other 4408256
Cindy Lee Shields Vice president 1 Aug 2007 Other 1979512
Christopher Lee Phalen Vice president 1 Aug 2007 Other 2599683
Frank Joseph Rosa Vice president 1 Aug 2007 Other 5188685
Security Benefit Corporation Member 1 Dec 2008 75% - 100% 48-1202239
Lisa Michelle Young Assistant treasurer 1 Nov 2009 Other 2596425
John Forest Frye Treasurer 1 Dec 2009 Other 5573869
Michael Paul Byrum Sr. vice president 1 Jun 2010 Other 2254181
Joseph Marvel Arruda Vice president 1 Jun 2010 Other 4625312
Nikolaos Bonos Sr. vice president 1 Jun 2010 Other 4145475
Llc Security Benefit Asset Management Member 1 Jun 2010 75% - 100% 27-3066166
John Joseph Linnehan Svp, cfo & treasurer 1 Jul 2010 Other 2308361
Nikolaos Bonos Sr. vice president 1 Jul 2010 Other 4145475
Michael Paul Byrum Sr. vice president 1 Jul 2010 Other 2254181
Joseph Marvel Arruda Vice president 1 Jul 2010 Other 4625312
Amanda Joy Kiefer Assistant secretary 1 Jul 2010 Other 5090355
Francois Coeytaux Associate cco 1 Jul 2010 Other 4359245
Keith Arthur Fletcher Sr. vice president 1 Jul 2010 Other 735212
Joanna Marie Catalucci Sr. vice president 1 Jul 2010 Other 4148421
Marc Claude Zeitoun Sr. vice president 1 Jul 2010 Other 2639942
Llc Rydex Holdings Member 1 Jan 2011 75% - 100% 26-0614356
Joanna Marie Catalucci Chief compliance officer 1 Jan 2011 Other 4148421
Elisabeth Ann Miller Chief compliance officer 1 Mar 2012 Other 4381813
Amy Leigh Damman Assistant treasurer 1 Mar 2012 Other 2720290
Todd Lawrence Boehly President, ceo & manager 1 Apr 2012 Other 2835122
Farhan Sharaff Chief investment officer 1 May 2012 Other 3157209
Donald Christopher Cacciapaglia Executive vice president 1 Dec 2012 Other 1396644
Amy Leigh Damman Assistant treasurer 1 Dec 2012 Other 2720290
Farhan Sharaff Sr. vice president 1 Dec 2012 Other 3157209
Donald Christopher Cacciapaglia Ceo & president 1 Mar 2013 Other 1396644
Donald Christopher Cacciapaglia Chief executive officer & president 1 Apr 2013 Other 1396644
Joanna Marie Catalucci Sr. vice president 1 Jul 2013 Other 4148421
Margaux Marie Misantone Assistant chief compl officer 1 Jun 2015 Other 4949669
Dustan R Beier Svp, cfo & treasurer 1 Aug 2015 Other 6552192
Dustan Roy Beier Sr. vice president, chief financial officer & treasurer 1 Aug 2015 Other 6552192
Margaux Marie Misantone Chief compliance officer 1 Jan 2018 Other 4949669
Jennifer Eileen Landers Assistant chief compl officer 1 Jan 2018 Other 3271233
Brian Edward Binder Chief executive officer and president 1 Jan 2018 Other 2466834

Indirect Owners

The SEC currently registers 32 indirect owners.

Name Entity Date acquired Ownership Employer ID
Inc. Sammons Enterprises Shareholder 1 Oct 1986 75% - 100% 75-6027423
Security Benefit Corporation Shareholder 1 Jul 1998 75% - 100% 48-1202239
Security Benefit Mutual Holding Company Shareholder 1 Jul 1998 75% - 100% 48-635687
Llc Guggenheim Capital Shareholder 1 Nov 2000 75% - 100% 36-4358656
Trustee Greatbanc Trust Company Trustee 1 Dec 2004 Other 36-3681493
Llc Guggenheim Capital Member 1 Oct 2005 75% - 100% 36-4358656
Inc. Guggenheim Manager Managing member 1 Oct 2007 25% - 50% 36-4406374
Llc Gp Holdco Member 1 Oct 2007 75% - 100% 20-8734966
Inc. Sage Assets Shareholder 1 Dec 2008 25% - 50% 26-3960584
Inc. Sammons Enterprises Shareholder 1 Dec 2008 75% - 100% 75-6027423
Inc. Consolidated Investment Services Shareholder 1 Dec 2008 75% - 100% 88-0214301
Trustee Greatbanc Trust Company Trustee 1 Jan 2010 Other 75-0864422
Inc. Esot Sammons Enterprises Shareholder 1 Jan 2010 75% - 100% 30-6332515
Inc. Esot Sammons Enterprises Shareholder 1 Mar 2010 75% - 100% 75-0864422
Security Benefit Corporation Member 1 Jun 2010 75% - 100% 48-1202239
Howard Rudolph Fricke Manager 1 Jun 2010 75% - 100% 1472257
Llc Guggenheim Sbc Holdings Shareholder 1 Jul 2010 75% - 100% 27-1974054
Llc Guggenheim Knights Of Security Managing member 1 Jul 2010 75% - 100% 94-3489008
Llc Guggenheim Lawrence Managing member 1 Jul 2010 75% - 100% 94-3489008
Llc Eldridge Investors 100% membership interest 1 Jul 2010 75% - 100% 27-1973901
Llc Sb Kansas Investors 80% membership interest 1 Jul 2010 75% - 100% 27-1967140
Robert Patton Member 1 Jul 2010 75% - 100% 5840546
Llc Security Benefit Asset Management Holdings Member 1 Jan 2011 75% - 100% 27-3066166
Inc. Consolidated Investment Services Shareholder 1 Jul 2011 75% - 100% 88-0214301
Inc. Sammons Equity Alliance Shareholder 1 Jul 2011 75% - 100% 45-2838232
Llc Guggenheim Capital Member 1 Feb 2012 75% - 100% 36-4358656
Llc Guggenheim Partners Member 1 Jul 2013 75% - 100% 94-3489008
Llc Guggenheim Partners Investment Management Holdings Member 1 Jul 2013 75% - 100% 27-1566073
Llc Gi Holdco Member 1 Jul 2013 75% - 100% 94-3489008
Llc Gi Holdco Ii Member 1 Jul 2013 75% - 100% 94-3489008
Llc Gmi Gpimh Managing member 1 Jul 2013 Other 36-4406374
Inc. Guggenheim Manager Member 1 Jul 2013 75% - 100% 36-4406374

Based in New York

The principal office where Security Investors, LLC performs its advisory services is located at 330 Madison Avenue, New York, NY 10017, which is also the mailing address of the firm. An additional office of the firm is in Rockville, MD. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212-739-0700. The normal business hours are 8:30 to 4:30 est on Monday - Friday. You can find more information about the New York firm at rydexfundsfp.com.