SECURITIES MANAGEMENT AND RESEARCH, INC.
Legal name: SECURITIES MANAGEMENT AND RESEARCH, INC. ("SM&R")
CRD #759 SEC #801-8002 MARION, IA 855-767-5700
SEC Registered Broker-Dealer Disclosures
Total AUM
$3.3M
Discretionary
$3.3M
Employees
1
Clients
1
Accounts
25
AUM Over Time
| Date | Total AUM | Discretionary | Non-Disc. | Employees | Clients |
|---|---|---|---|---|---|
| Mar 2012 | $3.3M | $3.3M | $0 | 1 | 26 |
| Jul 2011 | $9.2M | $9.2M | $0 | 5 | -- |
| Feb 2011 | $9.2M | $9.2M | $0 | 5 | -- |
| Jan 2011 | $9.2M | $9.2M | $0 | 5 | -- |
| May 2010 | $14.5B | $14.5B | $0 | 10 | -- |
| Mar 2009 | $11.8B | $11.8B | $0 | 10 | -- |
| Mar 2008 | $13.3B | $13.3B | $0 | 10 | -- |
| Oct 2007 | $12.9B | $12.9B | $0 | 10 | -- |
| Aug 2007 | $12.9B | $12.9B | $0 | 10 | -- |
| Mar 2007 | $12.9B | $12.9B | $0 | 10 | -- |
| Mar 2006 | $12.8B | $12.8B | $0 | 10 | -- |
| Jan 2005 | $1.1B | $1.1B | $0 | 10 | -- |
| Mar 2002 | $7.9B | $7.9B | $0 | 10 | -- |
DateMar 2012
Total AUM$3.3M
Discretionary$3.3M
Non-Disc.$0
Employees1
Clients26
DateJul 2011
Total AUM$9.2M
Discretionary$9.2M
Non-Disc.$0
Employees5
Clients--
DateFeb 2011
Total AUM$9.2M
Discretionary$9.2M
Non-Disc.$0
Employees5
Clients--
DateJan 2011
Total AUM$9.2M
Discretionary$9.2M
Non-Disc.$0
Employees5
Clients--
DateMay 2010
Total AUM$14.5B
Discretionary$14.5B
Non-Disc.$0
Employees10
Clients--
DateMar 2009
Total AUM$11.8B
Discretionary$11.8B
Non-Disc.$0
Employees10
Clients--
DateMar 2008
Total AUM$13.3B
Discretionary$13.3B
Non-Disc.$0
Employees10
Clients--
DateOct 2007
Total AUM$12.9B
Discretionary$12.9B
Non-Disc.$0
Employees10
Clients--
DateAug 2007
Total AUM$12.9B
Discretionary$12.9B
Non-Disc.$0
Employees10
Clients--
DateMar 2007
Total AUM$12.9B
Discretionary$12.9B
Non-Disc.$0
Employees10
Clients--
DateMar 2006
Total AUM$12.8B
Discretionary$12.8B
Non-Disc.$0
Employees10
Clients--
DateJan 2005
Total AUM$1.1B
Discretionary$1.1B
Non-Disc.$0
Employees10
Clients--
DateMar 2002
Total AUM$7.9B
Discretionary$7.9B
Non-Disc.$0
Employees10
Clients--