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SEC data October 1, 2026
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SEC data October 1, 2026
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Sign in or start freeAsset manager · Chicago, IL
SEC-registered investment adviser · CRD 106201 · SEC 801-53815
At a glance
Security Capital Research & Management Incorporated is an SEC-registered investment adviser based in Chicago, Illinois, with $3.3 billion in regulatory assets under management as of its Form ADV filed March 31, 2026. Its largest client group by assets is pooled investment vehicles, and it reports 37 individual clients. By Form ADV it is a asset manager, ranked 842nd of 3,218 asset managers and 2,668th of 17,210 SEC-registered advisers by assets.
Main office 312-385-8320securitycapital.comAs filed on Form ADV
Hybrid RIA
Security Capital Research & Management Incorporated is a hybrid RIA: 1 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: J.P. Morgan Institutional Investments Inc..
An introducing broker-dealer: its trades clear through another firm, which holds the brokerage accounts. Its annual audited report filed with the SEC, March 2026
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Pooled investment vehicles | 4 | $1.2B | 35% |
| Corporations or other businesses | 6 | $785M | 24% |
| Investment companies | 2 | $547M | 17% |
| State or municipal government entities | 3 | $493M | 15% |
| Charitable organizations | 3 | $134M | 4% |
| High-net-worth individuals | 37 | $129M | 4% |
| Other | 5 | $29M | <1% |
| Pension and profit sharing plans | 1 | $24M | <1% |
Security Capital Research & Management Incorporated reports 3 private funds with $913M in gross assets: other private funds (Form ADV Item 7.B).
Security Capital Research & Management Incorporated answers yes to 12 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
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Security Capital Research & Management Incorporated reports $3.3 billion in regulatory assets under management across 92 accounts, 100% of it on a discretionary basis, on its Form ADV filed March 31, 2026.
Security Capital Research & Management Incorporated is a asset manager by its Form ADV answers. Most of its assets are managed for funds, institutions or other businesses rather than individuals. It reports a bank or thrift among its related persons. A public reporting company controls it.
By assets, its largest client types are pooled investment vehicles ($1.2 billion, 4 clients); corporations or other businesses ($785 million, 6 clients); investment companies ($547 million, 2 clients).
Yes. It reports 3 private funds with $913 million in gross assets, including other private funds.
Security Capital Research & Management Incorporated answers yes to 12 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Every figure is Security Capital Research & Management Incorporated’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-03-31), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →