Benjamin F. Edwards & Company, Inc.

Benjamin F. Edwards & Company is an SEC‑registered investment adviser and broker‑dealer with roughly 436 advisors and about $15.7 billion in client assets, serving individuals (including high‑net‑worth clients), corporations, retirement plans, trusts, foundations, and charitable and educational organizations. The firm offers wrap‑fee advisory programs (discretionary and non‑discretionary), financial planning, retirement plan consulting, investment management consulting, plan‑participant advisory services, and access to separately managed accounts and unified managed account solutions.

BFE implements a mix of firm‑developed and third‑party model strategies — including mutual fund and ETF portfolios, active/passive and factor‑based equity models, tax‑transition strategies, private portfolios, and SMAs — with strategic allocations reviewed periodically (typically on an annual cadence) and oversight from an Investment Strategy Committee. Clients work with a financial advisor to choose a strategy and may grant discretionary trading authority for a selected strategy or retain final decision authority in non‑discretionary engagements; BFE documents ongoing monitoring, rebalancing, and proxy‑voting practices for accounts where it has authority.

Compared with many large enterprise advisers, BFE retains custody and clearance capabilities and performs custodial functions in certain programs while also maintaining a primary clearing relationship with Pershing — a combination that is less common among peers and raises distinct operational considerations. The firm also operates an internal trading desk, is registered as an independent introducing broker with the NFA and as an insurance agency, and administers a tiered FDIC‑eligible cash sweep (IDPF) in which it determines client sweep rates and retains residual interest, matters clients are encouraged to review in the firm’s disclosures.