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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

SECURITY ASSET MANAGEMENT, INC.

CRD 107162

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:9f46c273-d4fd-c9eb-1809-fbca1c026a14

Data as of Mar 2, 2023 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:45 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 4
On other graphs: 0
Observed: Nov 18, 2011 to Mar 2, 2023
15 observations

Across DFX

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.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $295MItem 5.F on the latest filing (2023-03-02); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $286M
Private client RAUM: $268MderivedItem 5.D individuals plus high net worth individuals
Private client share: 91%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 106
Individual clients: 10
High net worth clients: 90
SEC number: 801-37198
CRD: 107162
Filings on the tape: 15
First filed: Nov 18, 2011
Latest filed: Mar 2, 2023
Organised: Corporation, Delaware

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
AMBROSIO, JOHANNA, FLORENCE	VICE PRESIDENT- ADMINISTRATION	Na	yes	07/1990	Nov 18, 2011	Mar 2, 2023
CATTIER, JACQUES, NONE	VICE PRESIDENT	Na	yes	09/1997	Nov 18, 2011	Mar 2, 2023
TALIAFERRO, JAMES, DENHAM	PRESIDENT, CHIEF COMPLIANCE OFFICER	E	yes	07/1990	Nov 18, 2011	Mar 2, 2023

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2022	Mar 2, 2023	$295M	$286M	4	2	0	n/a	n/a
2021	Feb 3, 2022	$295M	$286M	4	2	0	n/a	n/a
2020	Feb 4, 2021	$285M	$272M	4	2	0	n/a	n/a
2019	Mar 3, 2020	$234M	$226M	5	3	0	n/a	n/a
2018	Feb 26, 2019	$179M	$173M	5	3	0	n/a	n/a
2017	Mar 5, 2018	$175M	$168M	5	3	0	n/a	n/a
2016	Feb 27, 2017	$151M	$141M	5	3	n/a	n/a	n/a
2015	Mar 14, 2016	$142M	$129M	5	3	n/a	n/a	n/a
2014	Feb 25, 2015	$149M	$136M	5	3	n/a	n/a	n/a
2013	Jan 29, 2014	$142M	$128M	5	3	n/a	n/a	n/a
2012	Mar 18, 2013	$109M	$97.4M	5	3	n/a	n/a	n/a
2011	Mar 21, 2012	$132M	$124M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2022	$295M	$295M	0.0%	$234M	8.1%	4	4	0	0

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
CLEAR HARBOR ASSET MANAGEMENT, LLC	2	Mar 31, 2023	Feb 1, 2023	NEW YORK, NY	Team lift out	RIA to RIA	100.0%

Relationships

Controls (3)

← AMBROSIO, JOHANNA, FLORENCEOwnerVICE PRESIDENT- ADMINISTRATION, ownership code NA, individual
Nov 18, 2011 to presentfactForm ADV
← TALIAFERRO, JAMES, DENHAMOwnerPRESIDENT, CHIEF COMPLIANCE OFFICER, ownership code E, individual
Nov 18, 2011 to presentfactForm ADV
← CATTIER, JACQUES, NONEOwnerVICE PRESIDENT, ownership code NA, individual
Nov 18, 2011 to presentfactForm ADV

Registered with (2)

← JAMES DENHAM TALIAFERROAdvisorregistration: previous registration
Aug 28, 2021 to Mar 31, 2023factForm ADV
← JACQUES NONE CATTIERAdvisorregistration: previous registration
Sep 8, 2021 to Mar 31, 2023factForm ADV

Moved with (1)

→ CLEAR HARBOR ASSET MANAGEMENT, LLCRegistered adviser2 advisors, team lift out, same day
Mar 31, 2023 to Feb 1, 2023factForm ADV

Dated events

Occurred
Mar 31, 2023
Team lift-out
2 advisors left Security Asset Management, Inc. (New York, NY) for Clear Harbor Asset Management, LLC on the same day
Form ADVobserved 3 days ago
2 advisors
Occurred
Mar 31, 2023
Advisor changed firm
Jacques None Cattier left Security Asset Management, Inc. for Clear Harbor Asset Management, Llc (registered 2023-02-01)
Form ADVobserved 4 days ago
Occurred
Mar 31, 2023
Advisor changed firm
James Denham Taliaferro left Security Asset Management, Inc. for Clear Harbor Asset Management, Llc (registered 2023-02-01)
Form ADVobserved 4 days ago
Occurred
Feb 4, 2021
Control person left
Randolph Richard Doll (Sr. Vice President) no longer on Schedule A of Security Asset Management, Inc. (listed 2020-06-30, absent 2021-02-04)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9f46c273-d4fd-c9eb-1809-fbca1c026a14
First observed: Nov 18, 2011
Last observed: Mar 2, 2023 43 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.

SECURITY ASSET MANAGEMENT, INC.

CRD 107162

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:9f46c273-d4fd-c9eb-1809-fbca1c026a14

Data as of Mar 2, 2023 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:45 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

AMBROSIO, JOHANNA, FLORENCE

VICE PRESIDENT- ADMINISTRATION

yes

07/1990

Nov 18, 2011

Mar 2, 2023

CATTIER, JACQUES, NONE

VICE PRESIDENT

yes

09/1997

Nov 18, 2011

Mar 2, 2023

TALIAFERRO, JAMES, DENHAM

PRESIDENT, CHIEF COMPLIANCE OFFICER

yes

07/1990

Nov 18, 2011

Mar 2, 2023

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2022

Mar 2, 2023

$295M

$286M

n/a

2021

Feb 3, 2022

$295M

$286M

n/a

2020

Feb 4, 2021

$285M

$272M

n/a

2019

Mar 3, 2020

$234M

$226M

n/a

2018

Feb 26, 2019

$179M

$173M

n/a

2017

Mar 5, 2018

$175M

$168M

n/a

2016

Feb 27, 2017

$151M

$141M

n/a

2015

Mar 14, 2016

$142M

$129M

n/a

2014

Feb 25, 2015

$149M

$136M

n/a

2013

Jan 29, 2014

$142M

$128M

n/a

2012

Mar 18, 2013

$109M

$97.4M

n/a

2011

Mar 21, 2012

$132M

$124M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2022

$295M

0.0%

$234M

8.1%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

CLEAR HARBOR ASSET MANAGEMENT, LLC

Mar 31, 2023

Feb 1, 2023

NEW YORK, NY

Team lift out

RIA to RIA

100.0%