This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Firm class

other adviserderivedprivate_client_share=0.0 fund_share=0.31 institutional_share=0.31 related_bd=false related_bank=false bd_reps=0.0

Regulatory AUM

$94.6MItem 5.F on the latest filing (2026-03-27); as reported, and an affiliate's assets may be counted again on its own filing

Discretionary RAUM

$94.6M

Private client RAUM

$15,601derivedItem 5.D individuals plus high net worth individuals

Private client share

0%derivedprivate client RAUM over total RAUM

Advisors on IAPD

1

RAUM per advisor

$94.6Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book

Employees

2

Advisory employees

1

Offices

0Schedule D 1.F, beyond the principal office

Accounts

25

High net worth clients

1

SEC number

801-79118

CRD

155168

Filings on the tape

16

First filed

Jan 17, 2014

Latest filed

Mar 27, 2026

Organised

Limited Liability Company, DE

Website

saxonsecurities.com

• Occurred

  Mar 29, 2023
  Regulatory AUM changed

  Saxon Securities Llc reported RAUM $182.2M, down 48% from $349.7M (2022-03-30 to 2023-03-29)

  Form ADVobserved 5 days ago
  $-168M
• Occurred

  Mar 30, 2022
  Control person left

  Lynn Rebecca Lucia (Managing Member) no longer on Schedule A of Saxon Securities Llc (listed 2021-03-29, absent 2022-03-30)

  Form ADVobserved 5 days ago
• Occurred

  Mar 29, 2021
  Regulatory AUM changed

  Saxon Securities Llc reported RAUM $425.7M, up 353% from $94.0M (2020-06-29 to 2021-03-29)

  Form ADVobserved 5 days ago
  $332M
• Occurred

  Mar 27, 2018
  Regulatory AUM changed

  Saxon Securities Llc reported RAUM $120.6M, down 82% from $656.5M (2017-06-28 to 2018-03-27)

  Form ADVobserved 5 days ago
  $-536M
• Occurred

  Jan 17, 2014
  First Form ADV filing

  Saxon Securities Llc filed its initial SEC registration (Form ADV)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:0cb1f364-c421-5e4d-8ea6-47629e3cf74f

First observed

Jan 17, 2014

Last observed

Mar 27, 2026 5 months ago

Source families

Federal regulator filings

3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.