Data / Investment advisers / New York / HSBC Securities (USA) Inc.
HSBC Securities (USA) Inc., New York, NY: $3.8 billion AUM, SEC registered investment adviser
Updated November 7, 2026. Source: the SEC's Form ADV data files for investment advisers.
HSBC Securities (USA) Inc. is an SEC registered investment adviser with its main office in New York, New York and reports $3.8 billion in regulatory assets under management in its Form ADV filed October 27, 2026. Its clients include individuals, high net worth individuals and pooled investment vehicles. It is paid through a percentage of assets under management, fixed fees and performance based fees. It advises 8 private funds.
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- Registration
- SEC registered investment adviser
- CRD number
- 19585
- SEC file number
- 801-64563
- SEC status
- Approved, effective August 30, 2005
- Main office
- 66 Husdson Boulevard East, New York, NY 10001
- Phone
- (212) 525-2879
- Website
- us.hsbc.com
- Regulatory AUM
- $3,838,097,569 in the Form ADV filed October 27, 2026
- Discretionary AUM
- $824,539,072
- Non discretionary AUM
- $3,013,558,497
- Accounts
- 12,108
- Employees
- 490, of which 402 give investment advice
- Form of organization
- Corporation
- Paid through
- a percentage of assets under management, fixed fees, performance based fees
- Private funds
- 8: 8 private equity funds
- Gross assets of private funds
- $87,955,632
- Other offices
- 58
- Form ADV Item 11 disclosures
- Reported: criminal actions, SEC or CFTC regulatory actions, other federal, state or foreign regulatory actions, self-regulatory organization actions, other Item 11 matters
- Latest Form ADV filing
- October 27, 2026
- SEC record
- Investment Adviser Public Disclosure
Clients
Client types the adviser reports in Form ADV item 5.D, with the AUM it attributes to each.
| Client type | Clients | AUM |
|---|---|---|
| Individuals (other than high net worth individuals) | 10,254 | $2.15 billion |
| High net worth individuals | 1,791 | $1.55 billion |
| Pooled investment vehicles | 28 | $88 million |
| Corporations or other businesses | 27 | $45.5 million |
| Pension and profit sharing plans | 8 | $5 million |
AUM in the SEC's monthly files
Each change in the AUM the adviser reported across the monthly SEC files held here, with the first file that shows the new value.
| First in the file of | AUM | Form ADV filed |
|---|---|---|
| April 1, 2026 | $3.84 billion | March 31, 2026 |
| December 1, 2025 | $3.23 billion | October 16, 2025 |
Other advisers in New York
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| Atalanta Sosnoff Management, LLC | New York | $3.91 billion | Not listed | adviserinfo.sec.gov |
| Avenue Europe International Management, L.P. | New York | $3.91 billion | 14 | adviserinfo.sec.gov |
| 140 Summer Partners LP | New York | $3.87 billion | 3 | adviserinfo.sec.gov |
| Cyrus Capital Partners, L.P. | New York | $3.87 billion | 16 | adviserinfo.sec.gov |
| Ionic Capital Management LLC | New York | $3.87 billion | 8 | adviserinfo.sec.gov |
| Avala Global LP | New York | $3.82 billion | 1 | adviserinfo.sec.gov |
| Scopus Asset Management, L.P. | New York | $3.82 billion | 5 | adviserinfo.sec.gov |
| Jefferies Credit Management LLC | New York | $3.82 billion | 3 | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in New York, NY
- Investment advisers in New York
- Advisers with $1 billion to $10 billion in AUM
- Advisers serving individuals
- Advisers serving high net worth individuals
- Advisers that manage private funds
- HSBC Securities (USA) Inc. on the SEC's adviser search
Public data published by the US Securities and Exchange Commission (US government work). Advisers report these values themselves in Form ADV, and neither the SEC nor the states approve or guarantee them. AUM is regulatory assets under management as the adviser reported it in Form ADV item 5.F, which can differ from the AUM a firm quotes elsewhere. Exempt reporting advisers do not report AUM. Office address, phone and website are the adviser's main office as filed; a firm that files its main office as a private residence shows no street address or phone. An Item 11 disclosure is a reported event, not a finding about the firm today. Details for each firm are on the SEC's Investment Adviser Public Disclosure site. This page uses SEC data and is not endorsed or certified by the SEC. Free to reuse with credit to SpecStream under CC BY 4.0. Spot a wrong value? Write to [email protected] with the link to this page.