{"url":"https://nivawealth.com/firms/bhk-securities-139665","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/139665","regulatoryAum":128447277,"crd":"139665","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"1750089","suffix":null,"lastName":"Beasley","firstName":"William","middleName":"Martin"},{"crd":"1427196","suffix":null,"lastName":"HAZZARD","firstName":"MEREDYTH","middleName":"ROBERTS"},{"crd":"2787109","suffix":null,"lastName":"KNIGHT","firstName":"JAMES","middleName":"BAILEY"}],"total":3,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-03-30","regulatoryAum":80768389,"clients":91,"employees":8,"offices":1},{"filedOn":"2022-05-06","regulatoryAum":131017531,"clients":123,"employees":9,"offices":1},{"filedOn":"2023-03-31","regulatoryAum":103566302,"clients":119,"employees":9,"offices":1},{"filedOn":"2024-03-25","regulatoryAum":113807484,"clients":114,"employees":9,"offices":1},{"filedOn":"2025-03-24","regulatoryAum":133843583,"clients":114,"employees":8,"offices":1},{"filedOn":"2026-03-26","regulatoryAum":128447277,"clients":103,"employees":8,"offices":1}],"secFileNumber":"801-67198","legalName":"BHK Securities, LLC","displayName":"BHK Securities","slug":"bhk-securities-139665","website":"https://bhkllc.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Alabama limited liability company","fiscalYearEnd":"December","headquarters":{"street":"2200 Lakeshore Drive, Suite 250","city":"Birmingham","state":"AL","stateName":"Alabama","country":"United States","postalCode":"35209-8803"},"tradeNames":[],"registration":{"secApproved":"21 September 2006","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1226120.6019417476,"staff":{"employees":8,"advisory":3,"brokerDealerReps":5,"insuranceAgents":2,"promoters":0},"aum":{"regulatory":128447277,"discretionary":54745394,"discretionaryAccounts":63,"nonDiscretionary":73701883,"nonDiscretionaryAccounts":121,"wrapProgram":52566928,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":42,"regulatoryAum":14901235},{"label":"High-net-worth individuals","clients":61,"regulatoryAum":111389187},{"label":"Pension and profit-sharing plans","clients":null,"fewerThan5":true,"regulatoryAum":2106259},{"label":"Corporations and other businesses","clients":null,"fewerThan5":true,"regulatoryAum":50596}],"feePrograms":[{"role":"other","program":"Retirement Plan Consulting","summary":"Non-discretionary retirement plan consulting is charged at 1.0% or lower, negotiable, as a percentage of assets or a fixed annual fee, paid quarterly in advance.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1027128","versionId":1027128,"submittedOn":"2026-03-26","documentName":"PART 2A"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T13:25:07.771131+00:00","documents":[{"name":"PART 2A","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1027128","versionId":1027128,"submittedOn":"2026-03-26"},{"name":null,"status":"not_downloaded","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1027129","versionId":1027129,"submittedOn":null}]},"custodians":[{"name":"Wells Fargo Clearing Services, LLC","shortName":"Wells Fargo Clearing Services","location":"St. Louis, MO","smaAssets":128447277}],"custodyNote":"BHK Securities has custody of $602K in client assets for 22 clients.","leadership":[{"name":"James Knight","title":"Chief Compliance Officer / Srop / Crop","crd":"2787109"},{"name":"Meredyth Hazzard","title":"CEO / FINOP / Pfo / Poo","crd":"1427196"}],"ownership":[{"label":"BHK Holdings, LLC","detail":"Managing member in the 75% or more ownership band, since March 2005."},{"label":"James Knight","detail":"Indirect owner: a partner of BHK Holdings, LLC in the 25% to 50% band and a control person, since March 2005.","parent":"BHK Holdings, LLC"},{"label":"Meredyth Hazzard","detail":"Indirect owner: a partner of BHK Holdings, LLC in the 25% to 50% band and a control person, since March 2005.","parent":"BHK Holdings, LLC"},{"label":"John Brock","detail":"Indirect owner: a partner of BHK Holdings, LLC in the 25% to 50% band and a control person, since October 2006.","parent":"BHK Holdings, LLC"}],"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Alabama","offices":1,"addresses":[{"street":"2200 Lakeshore Drive, Suite 250","city":"Birmingham","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"205-322-2025","stateRegisteredReps":4,"otherAdviserReps":4,"compensation":["A percentage of assets under management","Commissions"],"activities":["Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients","Pension consulting services","Selection of other advisers (including private fund managers)"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":82},{"label":"Securities issued by registered investment companies or business development companies","percent":13},{"label":"Cash and cash equivalents","percent":5}],"privateFunds":0},"sources":{"adv1FilingDate":"26 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/139665/PDF/139665.pdf","brochureDate":"26 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1027128","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does BHK Securities have?","answer":"BHK Securities has 103 clients and manages $128 million for them, as of March 2026. They include 61 high-net-worth individuals and 42 individual clients.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 26 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does BHK Securities offer?","answer":"BHK Securities provides portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, and selecting other managers.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does BHK Securities use?","answer":"BHK Securities’ separately managed account assets are held at Wells Fargo Clearing Services, LLC (St. Louis, MO), with $128M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 26 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does BHK Securities have?","answer":"BHK Securities has 4 investment adviser representatives registered with state securities authorities, out of 8 employees, and 3 perform investment advisory functions. 5 employees are registered representatives of a broker-dealer and 2 employees are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does BHK Securities invest in?","answer":"At the end of its last fiscal year, BHK Securities’ separately managed accounts held 82% exchange-traded equities, 13% registered funds (mutual funds, ETFs, BDCs) and 5% cash and equivalents.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns BHK Securities?","answer":"BHK Securities is owned through a holding company by James Knight, Meredyth Hazzard and John Brock. Its direct owner is BHK Holdings, LLC (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 26 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does BHK Securities get paid?","answer":"BHK Securities is paid through a percentage of assets under management and commissions. Its Form ADV lists no performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Is BHK Securities registered with the SEC?","answer":"Yes, BHK Securities has been registered with the SEC as an investment adviser since 21 September 2006. Its CRD number is 139665 and its SEC file number is 801-67198.","source":"Form ADV Part 1A, Item 1, filed 26 March 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact BHK Securities?","answer":"BHK Securities’ main office is at 2200 Lakeshore Drive, Suite 250, Birmingham, AL 35209-8803. Its phone number is 205-322-2025. Its website is bhkllc.com.","source":"Form ADV Part 1A, Item 1.F, filed 26 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}