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Broker-dealer firm · Lake Bluff, IL

Landolt Securities, Inc.

SEC-registered investment adviser · CRD 28352 · SEC 801-135200

At a glance

Landolt Securities, Inc. is an SEC-registered investment adviser based in Lake Bluff, Illinois, with $138 million in regulatory assets under management as of its Form ADV filed June 29, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 198 individual clients. By Form ADV it is a broker-dealer firm, ranked 312th of 391 broker-dealer firms and 14,095th of 17,210 SEC-registered advisers by assets.

Main office 847-838-5151landoltsecurities.comAs filed on Form ADV

Regulatory AUM
$138M
Rank among broker-dealer firms
#312 of 391
Rank among all SEC RIAs
#14,095 of 17,210
Rank in Illinois
#601 of 684
Individual clients
198
High-net-worth clients
198
Accounts
301
Discretionary
100% of AUM
Employees
14
Advisory staff
13
Offices
11

Owners and executives on its Form ADV

Custody and brokerage

Custodian

  1. RBC$106M

Other RIAs using RBC

Broker-dealer

Hybrid RIA

Landolt Securities, Inc. is a hybrid RIA: 14 of its employees are also registered representatives of a broker-dealer. It reports a broker-dealer among its affiliates on Form ADV.

Form ADV Part 1 doesn’t name an unaffiliated broker-dealer. The firm’s Part 2A brochure (Item 10) and each adviser’s record on the SEC’s adviser search do.

Other hybrid RIAs

Who it serves

Client typeClientsRegulatory AUMShare
High-net-worth individuals198$138M100%

Disciplinary disclosures

Landolt Securities, Inc. answers yes to 3 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

  • Portfolio management for individuals and small businesses
  • Selecting other advisers

How it’s paid

  • A percentage of assets under management

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

AtlasMembers

The full record on Landolt Securities, Inc.

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, 1 years of filings
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Growth over one, three and five years
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Rank against 125 peers of its type and size
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Owners and executives, with titles and stakes
3 namedLocked
Main office, fax and compliance officer
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Filing changes this year, with alerts
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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 Landolt Securities, Inc. manage?

Landolt Securities, Inc. reports $138 million in regulatory assets under management across 301 accounts, 100% of it on a discretionary basis, on its Form ADV filed June 29, 2026.

What kind of firm is Landolt Securities, Inc.?

Landolt Securities, Inc. 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.

Who are Landolt Securities, Inc.’s clients?

By assets, its largest client types are high-net-worth individuals ($138 million, 198 clients).

Does Landolt Securities, Inc. have any disciplinary history?

Landolt Securities, Inc. answers yes to 3 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 Landolt Securities, Inc.’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 (2026-06-29), 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 →