BNY MELLON SECURITIES CORPORATION
Company Profile
| AUM* | 439,005,652,388 25% |
| of that, discretionary | 431,260,026,341 24% |
| Number of Employees | 325 -19% |
| of those in investment advisory functions | 107 -10% |
| Private Fund GAV* | 10,943,349,093 114% |
| Avg Account Size | 114,443,601 31% |
| High Net Worth | 5.94% 46% |
| SMA’s | Yes |
| Private Funds | 5 2 |
Adviser Type
- Large advisory firm
- An investment adviser (or subadviser) to an investment company
- An investment adviser (or subadviser) to an investment company
Client Types
- Individuals (other than high net worth individuals)
- High net worth individuals
- Investment companies
- Pooled investment vehicles
- Pension and profit sharing plans
- Charitable organizations
- Corporations or other businesses not listed above
- Other
Advisory Activities
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses
Compensation Arrangments
- A percentage of assets under your management
Disclosure Reporting
| 11.C(1) | SEC/CFTC found false statement |
| 11.C(2) | SEC/CFTC found violation |
| 11.C(4) | SEC/CFTC order in investment-related activity |
| 11.C(5) | SEC/CFTC civil penalty / cease and desist |
| 11.D(2) | Other regulator found violation |
| 11.D(4) | Other regulator order (past 10 yrs) |
| 11.E(2) | SRO found rule violation |
| 11.H(1)(c) | Court dismissed pursuant to settlement |
Recent News
Reported AUM
431B
370B
308B
246B
185B
123B
62B
2015
2016
2017
2018
2019
2020
2021
2022
2023
2024
2025
2026
Private Funds
Employees
Form ADV-E Surprise Examination Reports
| Accounting Firm Name | Filing Date | Form ADV-E |
|---|---|---|
| Accounting Firm Name KPMG LLP | Filing Date10/28/2025 | Form ADV-E View Report |
| Accounting Firm Name KPMG LLP | Filing Date08/28/2024 | Form ADV-E View Report |
| Accounting Firm Name KPMG LLP | Filing Date10/27/2023 | Form ADV-E View Report |
Private Funds Structure
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