Thursday, October 22, 2026The Morning EditionOpen AtlasSign inJoin free
FinancialADVSR

Est. 2026The front page of wealth managementNew York

The Morning EditionFree · 6:30 AM ETSubscribe
RB An Amazon intern in 2020, Nevis CEO Mark Swan is the unlikely dream weaver for Focus Financial and other big RIA rollups with 'nightmare' integration issues -- with help from Schwab, Fidelity, OpenAI and AnthropicIN SpaceX’s AI segment now drives more than half its revenue. Here’s what advisors should watch nextFP Why AI might recommend your competitor instead of youFP Why clients are choosing phased retirement — and what advisors should know4K SPARK Forum Offering Scholarships for Retirement Plan AdvisorsFP What Schwab's new ETF platform fees mean for clients, advisorsWM RIA Platform Leaders Ask ‘What’s the Advantage in Having Your Own Form ADV?’IN Fake e-vite phishing scams put high-net-worth clients at riskRB Rick Wurster says Schwab is tackling its forced rationing of long/short SMAs with proprietary 'offering' to stretch balance sheet, but it may be more about a fee upside, a long/short manager saysIN Fintech bytes: 55ip, Vise, Syntax push tax-smart tools for RIAs

Broker-dealer firm · Chicago, IL

AON Securities LLC

SEC-registered investment adviser · CRD 4138 · SEC 801-106546

At a glance

AON Securities LLC is an SEC-registered investment adviser based in Chicago, Illinois, with $0 in regulatory assets under management as of its Form ADV filed March 26, 2026. By Form ADV it is a broker-dealer firm, ranked 366th of 391 broker-dealer firms and 16,555th of 17,210 SEC-registered advisers by assets.

Main office 312-381-4488As filed on Form ADV

Regulatory AUM
$0M
Rank among broker-dealer firms
#366 of 391
Rank among all SEC RIAs
#16,555 of 17,210
Rank in Illinois
#661 of 684
Clients
0
Accounts
0
Discretionary
0% of AUM
Employees
14
Advisory staff
14
Offices
2

Owners and executives on its Form ADV

Custody and brokerage

Custodian

AON Securities LLC’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.

Broker-dealer

Hybrid RIA

AON Securities LLC is a hybrid RIA: 14 of its employees are also registered representatives of a broker-dealer. It names affiliated broker-dealers: AON Securities (hong Kong) Limited and AON Securities Limited.

  • AON Securities (hong Kong) Limited
  • AON Securities Limited

Its Form ADV brochure (filed March 2026) names AON Securities as the broker-dealer its advisers are registered with.

Certain individuals affiliated with Aon Securities Limited may be registered representatives of Aon Securities LLC.

Other hybrid RIAs

Disciplinary disclosures

AON Securities LLC answers yes to 5 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 ↗

Services

  • Other services

How it’s paid

  • Fixed fees

Form ADV and brochures on the SEC’s adviser search ↗

AtlasMembers

The full record on AON Securities LLC

Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.

Assets, accounts, clients and staff, ten years of filings
Locked
Growth over one, three and five years
Locked
Rank against 28 peers of its type and size
Locked
Owners and executives, with titles and stakes
9 namedLocked
Main office, fax and compliance officer
Locked
Filing changes this year, with alerts
Locked
Open Atlas free

Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Background

Questions

How much does AON Securities LLC manage?

AON Securities LLC reports $0 in regulatory assets under management, on its Form ADV filed March 26, 2026.

What kind of firm is AON Securities LLC?

AON Securities LLC is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser. It reports a bank or thrift among its related persons. A public reporting company controls it.

Does AON Securities LLC have any disciplinary history?

AON Securities LLC answers yes to 5 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.

Where these numbers come from

Every figure is AON Securities LLC’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 (2026-03-26), 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 →