SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
Security Capital Research & Management Incorporated
Chicago, IL
CRD 106201
Firm filing updated March 31, 2026 ·
- $3.3BAssets
- 61Clients
- 17Advisory staff
- 92Accounts
Fees and minimums
All fee types on the form
- Percentage of assets under managementYes
- Performance-based feesYes
- Hourly chargesNo
- Fixed feesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- OtherNo
Who the firm serves
- High net worth individuals37
- Corporations or other businesses6
- Pooled vehicles4
- Charities3
- State or municipal government entities (including government pension plans)3
- and 2 more3
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| High net worth individuals | 37 | $128.7 million |
| Investment companies | 2 | $547.1 million |
| Pooled investment vehicles (other than investment companies and business development companies) | 4 | $1.2 billion |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 1 | $23.8 million |
| Charitable organizations | 3 | $133.8 million |
| State or municipal government entities (including government pension plans) | 3 | $493.1 million |
| Corporations or other businesses not listed above | 6 | $784.5 million |
| Other: "ENDOWMENTS & FOUNDATIONS" | 5 | $28.7 million |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies
- Portfolio management for businesses (other than small businesses) or institutional clients
See all 4 services
- Pension consulting services
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
Assets and accounts
- Regulatory assets$3.3 billion
- Accounts92
- DiscretionaryAll accounts
People
- Employees17
- Advisory staff17
- Broker-dealer reps1
- Licensed insurance agents0
Registration details
- SEC-registered investment advisor. CRD 106201, SEC file 801-53815.
- Registered with the SEC as an investment advisor (status date on record: February 10, 1997).
Is Security Capital Research & Management Incorporated a fiduciary?
Short answer: Security Capital Research & Management Incorporated is registered with the SEC as an investment advisor.
More detail
Some of its people may also act in other roles, such as for a broker-dealer or as insurance agents, where different rules apply. Details below.
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
Some of the firm's people may also act for a broker-dealer: 1 staff member is a broker-dealer representative and the firm has a related broker-dealer. When someone acts for a broker-dealer, a different SEC standard, Regulation Best Interest, applies to their recommendations. Ask which role they are acting in.
The firm has a related insurance company or agency.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.