Securities Industry Management Corp.

Securities Industry Management Corp. provides discretionary investment management and ongoing financial consulting to individuals, high‑net‑worth clients, families, trusts, estates, businesses, charitable organizations and qualified plans, managing about $13.62 million in discretionary assets across roughly a dozen client accounts. Services include development of investor profiles, custom portfolio construction, and ongoing monitoring with periodic rebalancing.

The firm applies a proprietary strategic asset allocation methodology and draws on macroeconomic, fundamental, quantitative, qualitative and technical analyses to construct diversified portfolios that align with client objectives and risk tolerances. Portfolios are managed on a discretionary basis, with the firm vetting investment vehicles prior to use and, for qualified clients, employing tools such as margin and shorting of exchange‑traded equities when appropriate.

Compared with many independent advisers, the brochure reflects a concentrated client mix focused on high‑net‑worth and institutional types rather than a broad retail clientele, and it discloses operational legacies of a prior broker‑dealer relationship (including commission arrangements routed through a clearing/clearing‑agent structure and the use of options, commodities and other product types). The firm also notes it may negotiate or occasionally waive fees and relies on custody and institutional support from a major custodian to access execution, research and operational services.