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Securities Monitoring Group, LLC (Buffalo)


Securities Monitoring Group, LLC is an adviser based in Buffalo. It manages $76.62 million of regulatory assets for 1,906 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdiction of Minnesota.




Securities Monitoring Group provides financial planning services, portfolio management for individuals and small businesses, selection of other advisers, educational seminars and workshops, and asset allocation/portfolio monitoring services. It prepares financial plans for less than 10 clients. On top of advisory services, the firm doesn't engage in other business activities.

Securities Monitoring Group: assets under management

The assets under management (AUM) of Securities Monitoring Group, LLC is $76.62 million. The firm's AUM has gone down by -34% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.


The firm manages $57.05 million in discretionary accounts and $19.57 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $49.22 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $26.2 thousand.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Securities Monitoring Group, LLC for their services and products based on a percentage of assets under management, hourly charges, fixed fees, and commissions. Hourly charges are usually charged for consulting work and special projects. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Based in Buffalo

The principal office where Securities Monitoring Group, LLC performs its advisory services is located at 103 Marty Drive, Buffalo, MN 55313, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 763-682-4014 or by fax 763-682-4461. The normal business hours are 7:30 am - 5:00 pm on Monday - Friday.


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